Reg BI Violations Archives

Reg BI Violations Result in $325k Charge for Broker Dealer

SEC RELEASES Introduction The SEC announced charges against a Broker Dealer on September 18th, 2024, for violations pertaining to Regulation Best Interest (“Reg BI”). Broker […]

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 […]