Event Description

The regulatory world is complex for financial advisors. Not only are you subject to SEC and FINRA regulations, but also what the IRS does as well. Clients expect you to be on top of what is happening in the world of investing, insurance, and taxes. It is not enough to just know the code section or the final rule affecting them. Your clients want to know how changes and updates affect their financial well-being. And what if you are a Certified Financial Planner? Then we need to worry about CFP Board too! It is enough to make your head spin!

That’s where our quarterly practice and regulatory update can help. In this 4-hour update, we will review new SEC enforcement actions and FINRA rule changes affecting registered representatives and their clients, examine how OBBBA provisions create new financial planning opportunities, and discuss recent developments in CFP Board’s ethical standards. We’ll also address the latest status of FinCEN’s AML rule for investment advisors and changes to RMD planning guidance. Don’t worry. We won’t just hurl code sections at you. Using practical and easy to understand examples, we will illustrate the concepts that mean the most to you – so you will be well-prepared for the many things that a client throws your way!

Objectives

• Identify new SEC enforcement actions and regulatory guidance affecting investment advisors issued in 2026.
• Recognize FINRA rule changes and their impact on registered representatives and their clients.
• State OBBBA provisions with the greatest relevance to financial planning recommendations for clients.
• Identify updates to CFP Board’s ethical standards and recent disciplinary case takeaways.
• Recall the current status of FinCEN’s AML rule for investment advisors and its practical implications.