Reg BI May Be A Major Source Of Future Enforcement Action

Vigilant Insights Brief Introduction Under Regulation BI (“Reg BI”), Firms are expected to act in the best interests of their customers. This requires full and fair disclosing, reasonable […]

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FINRA Expels First Broker Dealer Under Regulation BI

FINRA Brief Introduction A New York Firm was expelled by FINRA on May 12th related to multiple Regulation BI violations. This would be the first […]

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