Regulation Best Interest - Executive Summary

Posted by Communications Staff on Jul 2, 2019 2:50:52 PM

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...

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Topics: financialpodcast

Exceptional Advisor Podcast series launches season two!

Posted by Communications Staff on Mar 8, 2019 1:37:25 PM

 

Last October the Investments & Wealth Institute (formerly IMCA®) launched the Exceptional AdvisorTM Podcast series featuring interviews with top practitioners and industry experts. This week the Institute is proud to launch season two!

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Topics: financialpodcast

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Investment Sense provides expert thinking on the relevant topics that impact your business along with  updates from the Institute that will keep you up to speed on important happenings at your professional association. Industry experts—practitioners, academics and economists—will provide the latest thinking on today’s important topics, and you’ll hear from Institute volunteers and staff on association news that impacts your membership and certification.   

 

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