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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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Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's Peirce
Consumer Group Presses SEC's Gensler to Define 'Best Interest'
Idaho and North Dakota Adopt Annuity Sales Standards Updates
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief Says
FINRA Looks at Reg BI in Light of GameStop Frenzy

Podcasts

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

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SEC Amps Up Reg BI Exams
Trump DOL Fiduciary Rule to Take Effect Tuesday
Stifel CEO Praises SEC Reg BI, Blasts House Vote
SEC Reg BI Involves 'Massive Implementation' Process: Peirce
House Votes to Halt SEC Regulation Best Interest