Broker Regulation

Now is the time to redouble compliance and ethics reporting efforts, including internal detection and remediation of potential misconduct.

SEC requirements state Form CRS must be written "in plain English" and if delivered electronically, "presented prominently," not hidden on a website.

By the end of this article, you will better understand how the CAA can offer an opportunity for benefits brokers to open new doors and educate buyers on a significant and eminent change to our industry.

For benefits brokers still struggling to understand what needs to be reported, to whom and when, here's a quick rundown.

Nominate yourself, a peer, or a colleague today for 2022 BenefitsPRO Broker of the Year.

SEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.