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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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FINRA Fines 5 Firms for Reg BI, Form CRS Violations
More Sweeps, Reg BI Cases on the Way
Study Up! SEC Reg BI Bulletins Will Be Used in Exams, Compliance Pros Say
Reg BI Is a ‘Work in Progress’: SEC Chief
SEC Issues New Reg BI Guidance

Podcasts

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

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SEC Is Mulling Reg BI Rewrite: Lawmaker
More States Adopt Reg BI-Compatible Annuity Sales Standards
FINRA Fines Long Island BD Over Reg BI
SEC Reveals Top Exam Priorities for 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI Infractions