Regulation Changes with The Presidential Panel

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Regulation changes offer both challenges and opportunities. The DOL Rule put a lot of companies under immense pressure, but it was repealed. 

However, things may change with the new president-elect, so to give us insight on what we should be aware of and prepare for, we’ve put together a panel of presidents of broker-dealers. There also have been so many mergers & acquisitions in the industry – the big companies are getting bigger – and many have transitioned to fee-based. 

How has and will all this change the way we do business?

Key Takeaways:

  • Challenges & opportunities of regulations
  • What may be coming down the pike
  • How the industry’s transition to fee-based changes the way we do business
  • How the many mergers and acquisitions affects the industry and advisors
  • New opportunities with life insurance

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What Advisors Think of this Session

Topic Rating
Presenter(s) Rating

We asked participants: What’s the one best thing you learned from this presentation? What are you going to do differently in your business now that you’ve heard these ideas?

“This presentation put a positive spin on supervision, which provides backup to assist me as well as my clients. Good session. Keep up the good work.” -Bill Brantley

“I need to get ahold of and use a CRS form. Develop or secure a CRS form.” -Dale Whiting

“I learned that I should describe to clients the three ways I can be paid. Each option is good for specific purposes. Have the talk with all clients. Does your marketing program work with Northwestern Mutual reps?” -Dan Cairns

“Getting all these regulations in one discussion. Be aware of these regulations and how they pertain to my business.” -Barry Moore

“Importance of using my b/d for all trades and not trying to be a lone ranger for higher commissions. Continuing to do what I am already doing. Great job!!” -Robin Edgar

“Everyone is responsible under Reg BI, doesn’t matter what type of sale.” -David Bruno

“Clarity on new regulations. Be more diligent with regulatory compliance in our firm.” -Eric Stanley

“When in doubt… ASK!!!” -Gary Ruden

“The breadth of these new “best interest” regulations. I think these guys were right- whatever the new administration will add based on the previous effort will be more wide ranging. Get more up to speed on the new regulations. I need to follow up with someone to review my account and features.” -R Allan Jensen

“Cross all t’s and dot all your i’s. I will make sure that our call center walks me through every application to make sure number 3 is done.” -Jose Cerda

“Some good reasoning for the Reg BI. Document everything.” -David Janson

“Business is getting attacked by lawyers and gov’t. Keep putting together financial plans with Retirement Analyzer.” -John Davis

“Reinstate my variable licenses. Consider if CFP marks are worth an possibly impossible dream, the unreachable Star ✨” -Edward Bond

“Regulations are constantly changing. Angela, Can I get a playback of this presentation so my business partners can learn from this webinar?” -Larry Ricke

“Perspective on where the industry may be headed.” -Robert Leger

“Check with my back office even if I think I understand something and get it in writing. Also, clarify on what they consider to be selling away – i.e. if it’s referring to someone on the B/D side as they are not in that business, or if I just tell the client I can’t help them and to find someone on their own (which does feel cold). Check with compliance on above. I haven’t referred out, but I also recently put my 6 and 63 on hold to join the RIA so haven’t had a need to refer previously and just want to make sure I’m in compliance. I am curious about your marketing program.” – Tonya White

“I may need to become an RIA. Look at passing the series 6.” -Roberto Corral

“The way we will be doing business in the future is much different than the past. Reconsider my business model. Keep up the good work.” -Michael Kirsh

It was an eye-opener for a Life only person. I may have look into a Series 6.” -Randall Reichenbach

“Stay aware and vigilant for more Best Interest regulations coming down the pike from all the various states and federal government. Document, document, document! Also, always have a written plan!” -Joe Anthes

“That we need to be informed and try to be ahead of change or changes.” -Leon Avila

“This was refreshing to understand how to be compliant. Review compliance.” -Zee Glavan

“Regulations are a pain but if you’re doing things right for your client it will wash out the bad advisors. Continue to do and seek best practice processes.” -Robert Priganc


“I’d be interested to hear more about changes/opportunity in regards to Section 7702.” -Stephen Fisher