Regulation Best Interest or Reg BI
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Regulation Best Interest
NASAA report reveals a mixed bag of exam findings, with progress on Reg BI P&Ps and work to be done on conflict mitigation
NASAA looks to incorporate the core principles from Reg BI and SEC guidance into its conduct model rule
For the second time ever--and the second time in two months--FINRA has expelled a broker-dealer for Reg BI violations, including churning and excessive trading
First ever Reg BI-related expulsion calls out disclosure obligation requirements
In light of recent exams and disciplinary actions, FINRA has identified areas in which broker-dealers' investigations into private placements could be strengthened
These are the second set of FAQs the SEC staff has released related to IA's fiduciary duty and B-D's Reg BI obligations
Polarization seeps into finreg
Firm failed to establish and maintain a supervisory system, including WSPs, to achieve compliance with Reg BI
FINRA identifies findings tied to failures to comply with the Reg BI compliance obligation
SEC's Division of Examinations intends to incorporate performance with Reg BI into retail-focused exams of broker-dealers
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