InvestmentSense

Recently, the SEC recently released a series of new rules including the Regulation Best Interest rule (Reg BI) that is currently scheduled to go into effect in 2020. The entire rules and guidance package approved June 5 by the SEC comes out to nearly 1,400 pages.  The Institute has distilled the voluminous package for your benefit into the six-page executive summary linked below. The Institute's Exceptional Advisor Podcast also published a special edition episode on Regulation BI. Theses two resources should provide you with an objective overview of the two rules approved by the SEC – Reg BI and Form CRS – and two updated interpretative positions, one summarizing core components of the fiduciary standard for investment advisers and the other clarification of the solely incidental exemption for brokerage firms.  

As a professional association, with a core emphasis on education, our goal is to synthesize theses rulings in a digestible manner to help you comply with the rulings. We...

The first Annual Behavioral Advisor Forum will be held September 23-24, 2019 at The Palace Hotel in San Francisco, CA.

The Investments & Wealth Institute® will offer a new two-day, multi-track conference that will gather the leading authorities in behavioral economics, neuroscience, human decision-making, and communication. Behavioral Advisor Forum will include discussions, presentations, interactive workshops, Q&A, and networking opportunities, all with the goal of providing elite access to...

Investments & Wealth Institute has released new research findings in its 2019 High-Net-Worth Investor Study. The research explores how advisors can stand out in a crowded market, where high levels of client satisfaction and loyalty are not enough to set them apart. The study also examines how articulating the value of advanced credentials can provide meaningful differentiation among discerning high-net-worth (HNW) investors.

The Investments & Wealth Institute presented five prestigious awards at its 2019 Annual Conference Experience in Las Vegas on May 7, 2019.

This past May more than 1,500 advisors from across the nation gathered in Las Vegas for the Institute’s 2019 Annual Conference Experience. The conference was packed with investment and wealth management thought leaders and numerous industry experts and innovators. From the Women in Wealth luncheon and the International Breakfast to the Next-Gen Reception and general sessions there was palpable excitement in the air.

Its no secret that attracting talent and developing effective teams is a D when delivering an extraordinary experience to clients. CLIENTS EXPECT TO BE WHOOED AND WOWED.