The Shifting Regulatory Landscape for Advisors
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.
Here is a link to the NRS web site.