Nasdaq

Questions Remain About Reg BI Implementation

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 ...
Financial Advisor

Some B-Ds Missing Mark With Reg BI Implementation, SEC And Finra Find

While most broker-dealers are making a “good faith effort” to comply with Regulation Best Interest, some firms are not properly implementing the massive new retail investment advice rules designed to ...
InvestmentNews

Brokers try to figure out what ‘good faith efforts’ mean for Reg BI implementation

Now that financial firms know that the deadline for implementing the Securities and Exchange Commission’s higher investment-advice standard for brokers remains June 30, they have to figure out what ...
Financial Planning

After SEC’s first wave of Reg BI cases, FSI praises rule’s implementation

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 ...
Financial Planning

SEC’s Reg BI hasn’t led to many changes, state regulators warn

State regulators are sounding alarms about the negligible impact of the SEC’s Regulation Best Interest rule as the regulator devotes less time to retail advice standards than other priorities in Chair ...
WealthManagement.com

B/Ds’ Compliance Practices Largely Unchanged After Reg BI, NASAA Says

Broker/dealer firms subject to Regulation Best Interest have been slow to make compliance reforms since the rule was implemented last year, according to a new survey from the North American Securities ...
IT Business Edge

The Best and Worst in Business Intelligence

BI software – tools, platforms, and applications alike – holds great potential for helping organizations readily access the enterprise information needed to make informed business decisions and, ...