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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

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SEC Budget Boost Would Support 5% More Advisor Examiners: Gensler
More Reg BI Rollover Guidance Likely on Its Way: SEC Chief
Edelman, Nadig Say FINRA Complex Product Ideas Are ‘Unworkable,’ Terrifying
SEC Warns Advisors on Rollovers Under Reg BI
Massachusetts Fiduciary Rule Struck Down in Robinhood Case

Podcasts

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

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12b-1 Fees in Wrap Accounts Are an SEC Exam Priority in 2022
FINRA's Top 5 Fine Categories in 2021
6 Top Reg BI Compliance Failures: FINRA
8 Top FINRA Priorities for 2022
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022