SEC Exam Priorities Require Advisers to Account for Client-Specific Needs in Recommendations
The regulator also listed expensive, complicated and illiquid investment recommendations as coming under increased scrutiny in 2024.
Tag: Reg BE
Common Pitfalls in Reg BE, BI, According to FINRA, SEC
Riskier and complicated assets require more due diligence, and regulatory officials laid out some practices for advisers to avoid.