Broker-Dealer Regulation & Litigation Insights, published by Faegre Drinker Biddle & Reath, focuses on regulatory and compliance issues affecting broker-dealers and their registered representatives. The blog covers topics such as FINRA oversight reports, compliance with Regulation Best Interest (Reg BI), fiduciary duties under Department of Labor rules, rollover and account transfer recommendations, cybersecurity risks including those related to third-party vendors and artificial intelligence, and the regulatory treatment of complex financial products like registered index-linked annuities (RILAs). It also addresses practical considerations for policies, procedures, and supervisory systems to meet evolving regulatory standards in broker-dealer operations.