Jay Clayton, the chairman of the Securities and Exchange Commission, told broker-dealers in early April that Regulation Best Interest will be implemented on time, even though the Covid-19 crisis has ...

That leads us to a basic question on what constitutes a success or a failure in a BI system. There are two fundamental indicators of a successful BI implementation. First, is BI institutionalized in ...

In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...

While most broker-dealers are making a “good faith effort” to comply with Regulation Best Interest, some firms are not properly implementing the massive new retail investment advice rules designed to ...

Now that financial firms know that the deadline for implementing the Securities and Exchange Commission’s higher investment-advice standard for brokers remains June 30, they have to figure out what ...

An open letter to two U.S. Senators emphasizes that the SEC must receive sufficient fiscal support to effectively oversee the industry’s ongoing implementation of Regulation Best Interest and Form CRS ...

BI software – tools, platforms, and applications alike – holds great potential for helping organizations readily access the enterprise information needed to make informed business decisions and, ...

More than half of healthcare organizations have yet to implement business intelligence systems. And with shifts toward pay-for-performance, that could leave their bottom line open to financial hits.

Despite the ongoing spread of COVID-19 in the United States that has forced many firms to implement business continuity plans and work remotely, the SEC is holding fast to June 30 as the ...