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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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2021 News of the Year
With Reg BI, 'Think Broadly' About Recommendations: SEC's Lee
Reg BI Report Zooms in on BDs' Lack of Compliance
PIABA to Push SEC to Revise Form CRS, New President Says
SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?

Podcasts

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Reg BI to Be Folded Into Regular SEC Exams
SEC Is Stretched Thin, Gensler Testifies
GOP Lawmaker Questions SEC Chief on Commitment to Reg BI
Reg BI Compliance Requires ‘Tailored’ Policies and Procedures: SEC
Kitces’ XY Planning Urges SEC to Block Brokers From Offering Financial Plans