Rob Molinari, CRCP, AIF, RFC

Rob Molinari, CRCP®, AIF®, RFC®, is vice president, compliance, at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. He joined Commonwealth in March 2004, working first in Direct Investments and later in Compliance. Today, as vice president, compliance, Rob is responsible for the oversight of the bicoastal Surveillance and Advertising Review teams. He received his BS in criminal justice from Northeastern University and his MBA from Babson College. In addition, Rob holds the Certified Regulatory and Compliance Professional (CRCP®), Accredited Investment Fiduciary (AIF®), and Registered Financial Consultant (RFC®) designations, as well as a number of FINRA registrations.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

What Reg BI Means for Financial Advisors

10 Regulatory Exam Priorities for 2015

Key IRA Rollover Considerations

What Reg BI Means for Financial Advisors

Posted by Rob Molinari, CRCP, AIF, RFC

June 24, 2020 at 11:00 AM

Starting on June 30, the Regulation Best Interest Rule (Reg BI) will set a new standard of conduct for broker/dealers. It requires that a broker/dealer and its associated persons must always act in the best interest of their retail customers when recommending securities or investment strategies involving securities. Let’s explore what Reg BI means for financial advisors, including the requirements for complying with this new rule.

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Topics: Compliance

10 Regulatory Exam Priorities for 2015

Posted by Rob Molinari, CRCP, AIF, RFC

March 17, 2015 at 10:00 AM

It's an annual ritual. Early in the year, FINRA and the SEC each puts out a list of regulatory exam priorities for the coming 12 months. I've compiled 10 priorities for 2015—gleaned from both organizations' lists and in no particular order—that I believe are important in addressing compliance for financial advisors.

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Topics: Compliance

Key IRA Rollover Considerations

Posted by Rob Molinari, CRCP, AIF, RFC

December 2, 2014 at 10:00 AM

Depending on your financial advisor registration, when you make a recommendation to roll over a client's employer-sponsored retirement plan assets into an IRA, your recommendation is subject to FINRA rules—specifically, Rule 2111 (suitability) and Rule 2210 (communications with the public). To best advise your clients—and ensure compliance with this hot-button issue—be sure to review these important IRA rollover considerations.

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Topics: Retirement Consulting, Compliance

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