In Financial Advisor’s article “Reg BI Enforcement Expected To Be Tougher Under Biden,” the publication provided insight from Lundy and Grannum’s discussion on how the enforcement of Regulation Best Interest could change under a Biden administration.
In the article “What Does Divided Government Mean for Advisor Regulations?” Wealth Management highlighted key takeaways from Campbell, Lundy and Reish’s presentations on how a unified or divided Congress could make it difficult to overturn Trump-era regulations or enact a Biden administration’s agenda for financial advisors.
The 34th edition of “Inside the Beltway” was held on November 5, 2020. This session discussed:
- What does the election outcome mean for retirement plans and investment advice in 2021?
- What could the new Congress realistically consider as legislation affecting retirement plans, conflicts of interest and investment advice?
- What will the DOL likely focus on for regulation and investigation? What will the SEC likely focus on in terms of guidance, examination and enforcement?
- What issues will FINRA likely focus on for guidance and examination?