Available Regulatory Research & Due Diligence Reports

Product Menu and Pricing under the DoL Rule: Survey Summary (2017)

Selling Index Annuities under the DoL Rule (2017)

Selling Fixed Rate Annuties under the DoL Rule (2017)*

Due Diligence on Third Party Broker Dealers (2017)

Designing an Advisor Comp Plan under the DoL Fiduciary Standard (2016)

DoL Revenue Impact Calculator (2016)

Due Diligence on Turnkey Asset Management Provider (TAMPS) Prospectus (2015)

Due Diligence on Software Supporting Best Interest Product Selection


*Complimentary study