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ThinkAdvisor

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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SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?
Reg BI to Be Folded Into Regular SEC Exams
SEC Is Stretched Thin, Gensler Testifies
GOP Lawmaker Questions SEC Chief on Commitment to Reg BI
Reg BI Compliance Requires ‘Tailored’ Policies and Procedures: SEC

Podcasts

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

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Kitces’ XY Planning Urges SEC to Block Brokers From Offering Financial Plans
Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SEC
Barbara Roper Gets Key SEC Post
Connecticut Insurance Department Adopts Best-Interest Annuity Rule
SEC Slams 21 Advisors, 6 BDs Over Form CRS Failures