In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...

In a rare display of an industry trade group’s support for new regulation and enforcement, independent wealth managers are praising the SEC’s Regulation Best Interest. Processing Content More than 80 ...

That leads us to a basic question on what constitutes a success or a failure in a BI system. There are two fundamental indicators of a successful BI implementation. First, is BI institutionalized in ...

Over the years, some have become convinced Reg BI is a significant step up from brokers’ previous suitability standard. Others remain skeptical that it’s tough enough to curb broker conflicts. By Mark ...

To stay ahead in today's economy, all types of businesses acknowledge that they must use innovative technology. In today's highly competitive business environment, company leaders are under pressure ...

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