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Industry News Posts

January 18, 2017

My Year as SILA President

Sam Meyer SILA President

Sam Meyer talks about his experiences, accomplishments, and lessons learned in a year as SILA president

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December 8, 2016

The Clash, The DOL Fiduciary Rule, & The New Administration

In light of FINRA's recent focus on conflicts, how many broker-dealers and other investment firms are singing the tune?

"Should I stay or should I go now?"

By: Neal Hamilton

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June 10, 2016

Industry Update: NAIC Spring Meetings

This spring, NAIC hosted two national conferences: the NAIC Spring 2016 National Meeting in New Orleans at the beginning of April and the Insurance Summit in Kansas City May 16 - 20. The Insurance Summit is a new event that combines separate conferences, including the E-Reg Conference, TechEx, Financial Summit, Market Regulation Summit, PIO Forum, CIPR Symposium and Continuing Legal Education Seminar...

By: Leslie Kosal

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May 06, 2016

Fiduciary Rule: Why the industry remains uneasy

The fiduciary rule has been the topic of the financial services industry for quite some time, but now that it has been approved, industry concerns continue to increase. For those that are unfamiliar with the rule, here's the quick scoop: The rule, according to investment news, "requires that brokers act in clients" best interests"when providing retirement planning advice. Although many financial advisors...

By: Tim Owen

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June 24, 2015

Producer Licensing Law Changes in Texas and NARAB II

As many legislative sessions wrap up, one of the more significant changes that you should be aware of is Texas' advance towards producer licensing uniformity. If you got a chance to check out our most recent post, A Call for Continuing Education Uniformity, you may already be aware of the difficulties caused by non-uniformity and the importance of driving change. This law, which just passed in legislature, will move Texas producer licensing closer to national uniform standards. The specif...

By: Leslie Kosal

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January 13, 2015

NARAB II Signed Into Law by President

The National Association of Registered Agents and Brokers Reform Act (or NARAB II for short) has passed both the House and the Senate and is now awaiting a presidential signature to be made into law

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