FINRA Annual Conference 2021: 4 Key Takeaways

Perhaps SEC Chairman Gary Gensler summed up the predominant theme of the recently concluded 2021 FINRA Annual Conference best in the comments he made in the event’s final session.  “We need to do whatever we can to ensure that bad actors aren’t playing with working families’ savings and that the rules are enforced aggressively and consistently,” Gensler said in his remarks at this year’s conference, which ran virtually from May 18-20. Traditionally one of the […]

Read MoreMore Tag

RegEd’s Margaret Bragg Elected to SILA Foundation Board of Trustees

RegEd Senior Vice President Sales Margaret Bragg has been elected to the SILA Foundation Board as the new Compliance Trustee. As Compliance Trustee, Bragg will help ensure that the Foundation complies with its rules and bylaws. As the charitable arm of the Securities & Insurance Licensing Association (SILA), one of the SILA Foundation’s missions is to identify students who are aspiring to work in the financial services industry with financial assistance with their education by […]

Read MoreMore Tag

NY Reg 187 Could Reach State’s Highest Court After Being Struck Down

A controversial best interest standard for sales of life insurance and annuities in New York may be headed to the state’s highest court now that it has been deemed unconstitutional by an appellate court. The New York Court of Appeals would be the last stop within the state’s court system should regulators appeal the Supreme Court Appellate Division’s April 29 unanimous decision that the amended New York Regulation 187 is unconstitutional. “It appears likely that […]

Read MoreMore Tag
Scroll to top