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Regulatory Education
Switching hats in a post-regulation best interest world
With the adoption of Regulation Best Interest (Reg BI), the US Securities and Exchange Commission (SEC) is imposing an enhanced standard of conduct on broker-dealers and their associated persons when making recommendations to retail customers.
Regulatory Education
Thought Leadership Report: Enforcement and Litigation Risks
This article provides a high-level overview of how the SEC enforces the federal securities laws and the rules thereunder, and the enforcement and litigation risks presented by the rulemaking package.
Regulatory Education
Thought Leadership Report: The New SEC Standards
This article provides a high-level summary of the rulemaking package and explores its implications for registered investment advisors and dual registrants.
Sustainable Investing
Jim Patrick on the Future of Impact
Jim Patrick provides his insights on the future of impact investing at the Envestnet Advisor Summit.
Retirement
From Assets to Income: A Goals-Based Approach to Retirement Spending
Understand Vanguard's approach to spending and saving in retirement without relying on guaranteed sources of income.