Reg BI: Are we ready? How will it affect firms?

Reg BI: Are we ready? How will it affect firms?

Reg BI, short for Regulation Best Interest, was implemented by the SEC in 2019. FINRA enforces the rule. However, once again, Reg BI is at the center of discussion. Many parts of the rule, including precisely what best interests’ means, are a bit vague. The rule...
Monitoring Trading Alerts Through Innovative Software

Monitoring Trading Alerts Through Innovative Software

Tracking significant transactions in your client portfolios is an important part of managing your client portfolios. There are several significant transactions that you should watch for compliance, trading, etc. Factoring these transactions into a client’s...
Another Dotcom Bubble- Are the Markets Bracing for a Crash?

Another Dotcom Bubble- Are the Markets Bracing for a Crash?

Though it seems like yesterday to some of us, the Dotcom bubble’s bursting, and the ensuing market decline began over 20 years ago. The Dotcom burst in 2000, and the ensuing bear market lasted into 2002; the market fallout was exacerbated by the tragic events of...