Reg BI Article Published by Oyster Director Evan Rosser

In April 2018, the SEC presented its long awaited rule proposal Regulation Best Interest (“Reg BI”) as a three-part regulatory package aimed at reforming the way that investment professionals serve retail investors. If enacted as proposed, Reg BI would impose upon broker-dealers an obligation to act in a retail customer’s “best interest” when recommending securities… READ MORE

Senior Consultant Bob Tuch Publishes Senior Safe Act Article

Oyster Consulting Senior Consultant Bob Tuch recently contributed his article, “Protection of Seniors from Financial Exploitation – Congress Enacts the Senior Safe Act” to Practical Compliance & Risk Management for the Securities Industry, a Wolters Kluwer publication.  The Senior Safe Act provides immunity from liability to covered financial institutions and certain employees and representatives of… READ MORE

The SEC’s ReTire Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement

Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write the article “The SEC’s ReTire Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If… READ MORE