Regulation Best Interest

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

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

Onetime critic tasked with new guidance, Gensler says

'These fees are crazy...'