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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

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FINRA Bars Broker Over Reg BI Violations
SEC Fines Two Brokers for Reg BI Violations
Advisors Selling Annuities, Beware: CFP Standards and NAIC Annuity Sales Rules Differ
Expelled New York BD to Pay $235K for Reg BI Violations
SEC Hits Wisconsin BD With Reg BI Fine

Podcasts

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

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10 States Where Annuity Sales Rules Still Look Different
FINRA Hits Another BD With Reg BI-Related Fine
The SEC's New AI Plan Expands Reg BI — and More
State Lawmaker Group Attacks DOL Fiduciary Rule Revival
FINRA Fines 5 Firms for Reg BI, Form CRS Violations