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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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Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SEC
Barbara Roper Gets Key SEC Post
Connecticut Insurance Department Adopts Best-Interest Annuity Rule
SEC Slams 21 Advisors, 6 BDs Over Form CRS Failures
All Eyes on Gensler to Define 'Best Interest' in SEC Rule

Podcasts

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

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Pete Driscoll, SEC Exam Chief, to Depart
SEC Plans More Changes to Accredited Investor Definition
SEC Plans Hiring Push for Exams, Enforcement in 2022
Reg BI Exams: Here's What to Expect
SEC's Crenshaw Wants Investor Testing on Reg BI, Form CRS