Tom discusses - how his career got started, - his thoughts on Reg BI and how will it shape the industry, indications on how the SEC will be approaching examinations and what Broker Dealers can do to prepare, - the regulatory requirement for assessing Reasonably Available Alternatives what we've learned to date, and what firms should focus on in 2021. - recommendations for firms who are looking critically at their practices to meet the Care Obligation - and more.

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