In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...

While most broker-dealers are making a “good faith effort” to comply with Regulation Best Interest, some firms are not properly implementing the massive new retail investment advice rules designed to ...

Now that financial firms know that the deadline for implementing the Securities and Exchange Commission’s higher investment-advice standard for brokers remains June 30, they have to figure out what ...

The Securities and Exchange Commission will provide guidance to financial firms later this month on what the agency will expect from them in terms of compliance with its new investment-advice rules.

In a rare display of an industry trade group’s support for new regulation and enforcement, independent wealth managers are praising the SEC’s Regulation Best Interest. Processing Content More than 80 ...

BI software – tools, platforms, and applications alike – holds great potential for helping organizations readily access the enterprise information needed to make informed business decisions and, ...

More than half of healthcare organizations have yet to implement business intelligence systems. And with shifts toward pay-for-performance, that could leave their bottom line open to financial hits.