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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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4 New SEC Rules to Watch
Reg BI Remains Top Priority for 2023 Exams
More Reg BI Cases in the Pipeline, FINRA Chief Warns
Alaska Updates Annuity Sales Standards
FINRA Issues First Reg BI-Related Fine

Podcasts

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

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Get Ready: FINRA’s New CE Rules Start in January
SEC Chief Presses Senators to Fund More Reg BI Exams
Reg BI Will Be Defined Case by Case, Cetera’s Chief Legal Officer Says: SEC Roundup
New SEC Guidance Tackles How to Handle Conflicts of Interest
More Reg BI Actions May Be Ahead: SEC Enforcement Chief