Reg BI - It's A Bigger Deal Than You Might Think
(Recorded October 3, 2019) Reg BI is a bigger deal than you might think, and the implementation...
20:20
Podcasts de Reg BI
Reg BI - Conflicts of Interest Obligation
This episode discusses the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation,...
27:21
In this episode, Oyster Consultants Bob Tuch and Joe Sisti, along with Oyster's General Counsel...
20:26
Reg BI - The Disclosure Obligation
This episode discusses the Regulation Best Interest Disclosure Obligation - what it means for...
16:07
Reg BI - The Compliance Obligation
This episode discusses the Reg BI Compliance Obligation and the core things firms should focus on...
24:02
Advertising Rules - Enforcement Actions and the Impact of Reg BI
In this episode, Part 2 of 2, Oyster Asscoiate Director Bill Reilly and Senior Consultant...
14:07
Regulation Best Interest (Reg BI) - Where Are We Now?
On October 26, 2020 the SEC hosted a Reg BI/Form CRS roundtable event. Oyster CEO Buddy Doyle and...
14:39
Fred gets frank about fiduciary. It’s a new year, a new Congress, and a new direction with so...
15:20
Fred gets frank about fiduciary. It’s a new year, a new Congress, and a new direction with so...
15:26
For years FINRA has shared its priorities for the coming year, and 2021 was no exception. This...
09:29
Government regulation of the financial services industry fails to provide investors with a true...
22:13
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