Fiduciary Standard vs Regulation BI

By: Brian Tullio In early 2018, the Securities and Exchange Commission (“SEC”) issued a set of proposals, known as Regulation Best Interest (“Regulation BI”), in an effort to lift the standard of conduct applicable to broker-dealers.  Despite thousands of public comment letters, rule revisions, and a lawsuit against its implementation (which is still [...]

By |2020-09-18T21:55:16+00:00September 18th, 2020|Knowledge Center|0 Comments
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