Blog
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Boosting Fintech Efficiency: How Training Can Streamline Your Processes
June 12th, 2024 | Robert Batt, Client Success Manager, CapitalROCK In the past, a financial professional typically included someone who hung out a shingle, received
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Compliance Software Integration Best Practices: How to Drive Adoption and ROI
June 11th, 2024 | Brian Hendricks, Chief Operating Officer, CapitalROCK Non-integrated software is like buying a bathtub and filling and draining it with a bucket!
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Amended PTE 84-24: Impact on Producers, Carriers, and Intermediaries
May 8th, 2024 | Tyson Crane, VP of Product Maangement, CapitalROCK On April 25th, 2024, the Department of Labor published its final version of the Retirement
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The Reg BI Care Obligation: A Reoccurring Exam Priority
April 26th, 2024 | Jay McCready, Business Development, CapitalROCK Regulation Best Interest (Reg BI) was adopted by the Securities and Exchange Commission on June 5,
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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
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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