Broker Regulation

This week's episode looks into the problem areas of every regulation that puts industries through expensive endeavors and tons of paperwork.

Watch for major changes at NLRB and DOL, as well as and divisions of the DOL such as OSHA.

Firms also want the SEC to conduct investor testing on Form CRS and rewrite the Custody Rule, an IAA poll finds.

This week's episode helps advisors learn more about advising clients about federal benefits, from Social Security to Medicare and beyond.

The issue: Does a plan participant have a duty to repay the plan after settling with a third party over an injury claim?

Some expect TICRA to have an impact on our industry similar to that of the ACA, and I tend to agree! Before we started discussing a 3-month plan that will help brokerages shine, it's important to share some history and highlights about the TICRA.