Policies and legislation impacting financial services and wealth management.

What the continued emphasis on client suitability will mean for financial services this year.

Regulatory Outlook | 02.04.19

Client Suitability Remains a Regulatory Focus in 2019

by Rich Blake

What the government shutdown tells Americans about personal finance and emergency saving

Regulatory Outlook | 01.24.19

Shutdown Shows the Importance of Financial Preparedness

by Rich Blake

What will happen now the Republican dominance in U.S. statehouses is over?

Regulatory Outlook | 11.20.18

by Rich Blake

Challenges with Regulation Best Interest following Midterm Elections

Regulatory Outlook | 11.14.18

by Rich Blake

Don't Expect Closure in the Battle Over Standard of Care

Regulatory Outlook | 10.16.18

by Rich Blake

By Rich Blake

Regulatory Outlook | 09.19.18

by Rich Blake

Regulatory Outlook | 08.21.18

by Rich Blake

With the SEC cracking down on advisors’ use of social media, what policies should your firm have in place?

Regulatory Outlook | 07.31.18

by Rich Blake

Regulatory Outlook | 05.31.18

by Rich Blake

CONTACT Bank Insurance & Securities Association 2025 M Street, NW, Suite 800 Washington, DC 20036
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