report by BlackRock
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Goals/Needs-Based Investing
Outcome-Based Investing Guide
This piece is approved to use with clients.
When investors focus too closely on investment performance, they can lose sight of their goals and instead focus myopically on beating the benchmark. Enter Outcome-Based strategies, which seek to provide investment outcomes that fit the profile of common investment goals. That way you can match your portfolio’s outcomes with your goals. Here's our overview of how Outcome-Based Investing can fit within your financial planning.
Leveraging Technology & Data
Tech in Business
98% of advisors say that technology impacts their decision to join a new firm, with 70% saying it ‘significantly impacts’ that choice.
Policy and Regulatory Commentary
See Through Election Uncertainty
Investors have seen more than their fair share of market volatility in 2020… and it isn’t over yet.
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.