as our valued client, you are invited to...

Connect & Collaborate

about the SEC's Form CRS & Reg BI

What is it?

Our second collaborative conference call regarding Form CRS and Reg BI. We had a helpful discussion on January 9 and February 4. The Group will have another call in the near future. That date will be posted here when available.

When is the Call?

The Date is being determined, but the time will be:  3:00 PM EST / 2:00 CST / 11:00 PST

What is the Focus?

Follow up for the Discussion from January 9

We gave an update of Techmate's experience thus far with Reg BI and Form CRS. Clarifying questions were asked and discussion ensued. The Primary Focus is reviving the DOL commission recalculations for possible use to help address Conflicts of Interest involving Rep Compensation. 

Follow up for the Discussion from February 4

Our goal was to determine what Techmate can build into WinOps to assist with Reg BI Compliance. We worked through a number of the items on FINRA's BI checklist.  How to avoid unknowingly committing to monitoring when that isn't the intent was discussed. Further discussion came on reasonable alternatives to recommendations. A system for tracking CRS Versions and delivery dates would be useful, especially to prospects before account paperwork systems are engaged. Is there value in having risk metrics tools engaged in WinOPS?  Much discussion but no strong conclusion was reached. 

Is there an Agenda for the Meeting?

We are working on an agenda. We understand the mitigating conflicts of interest to be a major concern for BDs to comply with Reg BI.  However, there may be other items of concern as well. If you have clarity on these items that you can share with us in advance, we would appreciate you sending it to us.

How Can I/We Attend?

Please join us at 3:00 PM EST / 2:00 CST / 11:00 PST at the online meeting credentials below inviting you to a scheduled RingCentral meeting. 

Topic: Connect & Collaborate (Rod Lueck's Personal Meeting Room)

Join from PC, Mac, Linux, iOS or Android:


Or iPhone one-tap :

    US: +1(773)2319226,,8527730199# 


Or Telephone:

    Dial(for higher quality, dial a number based on your current location): 

    US: +1(773)2319226 

    Meeting ID: 852 773 0199

    International numbers available:

Got Questions or Wish to Share Info In Advance?

Click Here to connect with Rod Lueck, our CEO, with our Next Steps.

We look forward to working with you!


Next Meeting Date TBD