Blog
Annuities: A Vital Piece of a Balanced Retirement Portfolio
April 1st, 2024 | Scott Miller, Product Manager, CapitalROCK Let’s start with a discussion about what income is available in retirement and what are the
2023 FINRA Enforcement Fines Increased in Size and Quantity
March 27th, 2024 | Hayden Galloway, Product Manager, CapitalROCK Trends to follow for 2024 FINRA reported $89 million in fines in 2023. This is a
Reg BI: How to Choose Reasonably Available Alternatives
January 22nd, 2024 | Jared Lorenz, Product Manager, CapitalROCK During a recent national compliance conference, I attended multiple sessions on reasonably available alternatives (RAAs). I
Fiduciary or not a Fiduciary? Show your work in the PTE 2020-02 Retrospective Review
January 22nd, 2024 | Hayden Galloway, Product Manager, CapitalROCK The Department of Labor is still deciding, again, on the scope of transactions financial institutions and
The Reg BI Care Component: Bringing Application to the SEC’s FAQs
January 22nd, 2024 | Connor Thomas, Vice President Of Business Development, CapitalROCK When Reg BI came into effect on June 30, 2020, many broker-dealers were
Decoding the DOL’s New Retirement Security Rule
January 22nd, 2024 | Robert Batt, Client Success Manager, CapitalROCK The most recent proposal from the U.S. Department of Labor (DOL) issued on October 31,