![FINRA Reg BI Checklist: 20 Compliance Requirements [Infographic]](https://www.figmarketing.com/blog/wp-content/uploads/2020/07/FINRA-Reg-BI-Checklist_BLOG-HEADER-1170X681.jpg)
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.
Annuity myths have circulated inside financial (and client) circles for years. From misconceptions about what annuities are or how annuities address client issues, those who explore annuities for retirement planning may have…
Switching to e-applications (e-apps) can open a financial professional’s eyes to the ease and simplicity of efficient business solutions in the digital age. Sort of like how my eyes were opened when…