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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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Ron Rhoades: SEC Reg BI Is 'Greatest Securities Fraud in History'
The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards Package
SEC's Clayton Explains 'Best Interest' vs. 'Fiduciary' Duty
Cheers, Jeers for SEC's New Advice-Standards Rules
SEC Passes Regulation Best Interest by 3-1 Vote

Podcasts

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

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LIVE UPDATES: SEC’s Reg BI Vote
A Timeline of the Contentious Fiduciary Rules
What BD Execs Expect From Reg BI
SEC Exam Chief Warns: Don't Skimp on Compliance
Industry Officials Forecast DOL Fiduciary Rule's Future