The FINRA Reg BI checklist is…encompassing to say the least.
Taken effect on June 30, 2020, the new FINRA Reg BI standard – along with Form CRS – outline what broker-dealers (BDs) and their registered representatives need to account for in order to comply with the new “best interest” standard of conduct.
Updated September 1, 2023, at 10:41 AM There’s a podcast boom going on! They’re all the rage these days, and for good reason. Podcasts are one of the hottest marketing tools around …
A lot of financial professionals have the desire to increase their integrated marketing efforts but may feel that they (and their team as a whole) lack the time and resources. Many financial …