Browsing Tag
Reg BI
48 posts
2020 Fi360 Conference: Reg BI, ESG Investing Lead Agenda
A deep dive into ESG investing, the latest on Reg BI, and a keynote from “Queer Eye’s” Karamo…
Fi360 Launches Reg BI Training in Advance of June Implementation
While several states and a network of investment advisers have lobbed legal challenges toward the SEC’s looming new…
Group Urges Massachusetts to Wait on Fiduciary Standard
Massachusetts consumers stand to lose access to vital retirement planning and other financial advice under a proposed state…
Barney Frank, Chris Dodd File Opposition to SEC’s Reg BI
Powerful interests and actors are lining up against the SEC’s Regulation Best Interest, which requires broker-dealers and their…
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
Elizabeth Warren ‘Cautions’ DOL About Weak Fiduciary Rule
Liberal gadfly and presidential hopeful Senator Elizabeth Warren, D-Mass., wrote to Labor Secretary Eugene Scalia Wednesday in the…
Reg BI Lawsuit: 8 Attorneys General Sue SEC
It was only a matter of time before a lawsuit would be filed against the Securities and Exchange…
CFP Board Delays Enforcement Date for New ‘Code and Standards’
Certified Financial Planners will have an additional nine months to align their business models with the CFP Board…
SEC Reg BI’s Limited Retirement Plan Impact
A comprehensive package of rules and interpretations adopted June 5 by the Securities and Exchange Commission imposes enhanced…
Reg BI Cometh! An Webinar from Fi360
(Click on the video above.) Blaine Aikin, AIFA®, CFP®, CFA®, Executive Chairman, Fi360 and Duane Thompson, AIFA®, Senior…