State Lawmaker Group Attacks DOL Fiduciary Rule Revival
By Allison BellCarl Anderson, NCOIL's life chair, said a return of the 2016 rule would hurt state insurance regulation.
May 19, 2023
Study Up! SEC Reg BI Bulletins Will Be Used in Exams, Compliance Pros SayThe bulletins are "essentially a roadmap" to what examiners will focus on, Commonwealth's Peggy Ho says.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 18, 2023
SEC Is Mulling Reg BI Rewrite: LawmakerA Republican congressman warned that attempting to rewrite the rule through guidance or FAQs could violate the law.
March 07, 2023
More States Adopt Reg BI-Compatible Annuity Sales StandardsGeorgia, Illinois and Tennessee have joined 30 other states in adopting NAIC's annuity sales standard update.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.