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ThinkAdvisor

Financial Topics

Reg BI

Explore how the SEC’s Reg BI aims to get financial professionals to put clients’ interests first.

Webcasts

Attend free webcasts to get the info you need to solve business challenges!

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FINRA Releases Reg BI Notice
FINRA Bars Broker Over Reg BI Violations
SEC Fines Two Brokers for Reg BI Violations
Advisors Selling Annuities, Beware: CFP Standards and NAIC Annuity Sales Rules Differ
Expelled New York BD to Pay $235K for Reg BI Violations

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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SEC Hits Wisconsin BD With Reg BI Fine
10 States Where Annuity Sales Rules Still Look Different
FINRA Hits Another BD With Reg BI-Related Fine
The SEC's New AI Plan Expands Reg BI — and More
State Lawmaker Group Attacks DOL Fiduciary Rule Revival