Reg BI Coming Soon, FINRA Annual Conference Speakers Suggest

Conference panel speakers at the FINRA Annual Conference suggested that the final rule on Regulation Best Interest, or “Reg BI,” may be adopted as early as the week of June 3rd, 2019 (the vote has been scheduled for June 5, 2019). Comments by regulators and others on the panel discussing FINRA’s suitability rule 2111 and… READ MORE

SEC Fiduciary Standards Update

The SEC Proposes Rules and Interpretations to Address Relationships Between Retail Investors and Investment Professionals The Securities and Exchange Commission (Commission) has been considering issues relating to retail investor relationships with investment professionals for several years.  A study was undertaken following passage of the Dodd-Frank Act, resulting in certain recommendations in a 2011 report.  However,… READ MORE

Are You Ready for June 9th and the DOL Fiduciary Rule?

  The Department of Labor (DOL) has proposed to delay the applicability date of its fiduciary rule by 60 days.  The new compliance date and the beginning of the transition period under the proposed delay is June 9th. Even with a delay, numerous questions remain and nobody knows for sure what June 9th will bring…. READ MORE

Register Now: Are You Ready for June 9th and the DOL Fiduciary Rule?

The Department of Labor (DOL) has proposed to delay the applicability date of its fiduciary rule by 60 days.  The new compliance date and the beginning of the transition period under the proposed delay is June 9th. Even with a delay, numerous questions remain and nobody knows for sure what June 9th will bring. Join… READ MORE

Webinar Slides Available: Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  The DOL Rule has expanded the definition of fiduciary advice and has created the best interest contract exemption (BIC Exemption) as the primary… READ MORE

Webinar Today! Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for… READ MORE