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‘Reg BI’ and Dual Registrants
Advisory and 12b-1 fees may not be combined
Reported by Fred Reish and Joan Neri
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FINRA’s Top Enforcement Issues of 2023
Regulation Best Interest makes the top five, according to Eversheds Sutherland LLP.
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SEC Cites Broker/Dealers for Not Meeting Reg BI Standards
The SEC issued a warning after finding issues, including advisers not properly disclosing conflicts of interest or maintaining written policies.
PANC 2022: Reg BI Compliance Tips From the SEC
The enforcement of Regulation Best Interest is currently one of the major projects at the Securities and Exchange Commission.