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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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New SEC Guidance Tackles How to Handle Conflicts of Interest
More Reg BI Actions May Be Ahead: SEC Enforcement Chief
Reg BI Makes FINRA's Top Customer Arb List, a First
SEC Needs Budget Boost to Enforce Reg BI: IRI to Senators
SEC's First Reg BI Action Singles Out Individual Advisors

Podcasts

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

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Expect ‘Deeper Dive’ Reg BI Exams in 2022: FINRA Exec
Ron Rhoades Makes 5 Predictions for the Future of Advice
5 Rules the SEC Plans to Review This Year
In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to Retirees
A Top LPL Advisor and Advocate Talks Secure Act 2.0, DOL Fiduciary Rule