The regulatory world is complex for financial advisors. Not only are you subject to SEC and FINRA regulations, but also to what the IRS does. 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 the CFP Board, too! It is enough to make your head spin!

That’s where our quarterly practice and regulatory update can help. In this update, we will cover the latest regulatory happenings—including a deep dive into the new OBBBA passed this year—and discuss developments from many different areas that affect financial advisors. 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!