Is Your Compensation Structure Ready for Reg BI?

If you’re a broker-dealer that is just beginning your Reg BI implementation process, you should quickly review your compensation plan to understand what changes (if any) need to be made to your payout structure to be Reg BI-compliant.  Make sure your payroll team is thinking about how a mid-year amendment is going to work if… READ MORE

FINRA’s Reg BI Conference – What You Need to Know

With just over six months remaining until the implementation date of Reg BI, we are seeing regulators provide additional guidance to help firms to meet the requirements of the rule, and regulatory expectations.  This week, FINRA hosted its Reg BI Conference in Washington, DC and Oyster’s consultants attended to receive the most up to date… READ MORE