Blog
Reg BI: How to Choose Reasonably Available Alternatives
January 22nd, 2024 | Jared Lorenz, Product Manager, CapitalROCK During a recent national compliance conference, I attended multiple sessions on reasonably available alternatives (RAAs). I
Fiduciary or not a Fiduciary? Show your work in the PTE 2020-02 Retrospective Review
January 22nd, 2024 | Hayden Galloway, Product Manager, CapitalROCK The Department of Labor is still deciding, again, on the scope of transactions financial institutions and
The Reg BI Care Component: Bringing Application to the SEC’s FAQs
January 22nd, 2024 | Connor Thomas, Vice President Of Business Development, CapitalROCK When Reg BI came into effect on June 30, 2020, many broker-dealers were
Decoding the DOL’s New Retirement Security Rule
January 22nd, 2024 | Robert Batt, Client Success Manager, CapitalROCK The most recent proposal from the U.S. Department of Labor (DOL) issued on October 31,
How RightBRIDGE Tackles Regulations in a Dynamic Regulatory Landscape
January 22nd, 2024 | Jay McCready, Business Development, CapitalROCK Do you feel like the Financial Industry’s regulatory environment is increasingly changing? It certainly feels like
Selecting Annuities Using Reasonably Available Alternatives
January 24th, 2024 | Scott Miller, Product Manager, CapitalROCK Reasonably Available Alternatives (RAAs) The idea behind RAAs, is that Financial Professionals are required to abide