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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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Rep. Waters Seeks to Block SEC Regulation Best Interest
Ron Rhoades: SEC Reg BI Is 'Greatest Securities Fraud in History'
The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards Package
SEC's Clayton Explains 'Best Interest' vs. 'Fiduciary' Duty
Cheers, Jeers for SEC's New Advice-Standards Rules

Podcasts

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

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SEC Passes Regulation Best Interest by 3-1 Vote
LIVE UPDATES: SEC’s Reg BI Vote
A Timeline of the Contentious Fiduciary Rules
What BD Execs Expect From Reg BI
SEC Exam Chief Warns: Don't Skimp on Compliance