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$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 […]
Read MoreReg 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 […]
Read MoreSEC Issues Risk Alert Related to Regulation Best Interest
SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]
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