The Rise of Human-AI Teams in Life Insurance
By Sam HenryAI can elevate consumer trust by making Reg BI possible.
April 09, 2025
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'The new model rule prohibits reps from using these titles unless they are also registered as advisors.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.
February 28, 2025
Firm Hit With Reg BI Fine Over Private PlacementsFINRA fined Cova Capital Partners for recommending three private placements that weren't suitable for some investors.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 16, 2025
Rep Violated Reg BI With Excessive Trading in Older Clients' Accounts: FINRAThe rep was suspended and ordered to pay more than $27,000 in restitution.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.