Reg BI Violation Archives

$2.2 Million Reg BI Violation | SEC Releases

SEC Releases Introduction A Broker Dealer was charged $2.2 Million on February 16th for failures to comply with Regulation Best Interest (“Reg BI”). Reg BI continues to be an enhanced focus for the […]

Reg BI Violations | Broker Suspended

News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were discovered during a FINRA Exam […]