The Shifting Regulatory Landscape for Advisors

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About the Episode

John Gebauer and I discuss the key regulatory issues facing advisors, including RegBI, form CRS, the SEC’s planned changes to its advertising and cash solicitation rules and the Michael Kiitces/XYPN lawsuit against the SEC.

About our Guest

John Gebauer is the president of NRS, a provider of compliance solutions for financial advisors. It offers proprietary software, consultant compliance professionals and education. The education ranges from conferences to skill building, test prep and CE.

Show Notes

Here is a link to the NRS web site.