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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.
Client Relationships
The Generations Project: Strengthening Conversations
Our survey demonstrates the importance of having clear conversations with clients about goals for their finances and their families and thereby realizing Greater Possibilities Together.
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.
Business Development
Prepare Your Practice for the Power of Women
This advisor presentation will help you learn more about the financial power women are wielding today—and how their power is expected to grow in the future. As women gain more financial responsibility, your practice needs to be ready to serve their needs. Explore new ways to position your practice for this future growth opportunity.
Leveraging Technology & Data
How Artificial Intelligence (AI) Is Changing Advice and Wealth Management
With better data and analytics, emerging solutions may help deliver deeply personalized service that guides customers and advisors toward improved behaviors and outcomes.
Business Development
Integrating Social Media Into Your Digital Marketing Strategy
Learn how you can fit social into your marketing plan and use it effectively.
Client Relationships
Client Discussion Guides
These value-add worksheets from BlackRock help increase engagement between an advisor and their clients.
Advisor Value & Fees
The Fiduciary Opportunity: The Future Is Now
Beyond the ultimate fate of the Fiduciary Rule, the industry faces a crucial crossroad: pursue a business model that responds to the digital, demographic and economic pressures reshaping it, or breathe a sigh of relief and return to business as usual?