Industry Perspectives

SEC Regulation Best Interest: Ready or Not, Here it Comes!

Just over one year has passed since the SEC proposed Regulation Best Interest (Reg BI) in April 2018. The SEC has stated that it hopes to have the regulation finalized by the end of September 2019. Although it’s anyone’s guess what the final regulation will look like…

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FINRA Guidance on Customer Communications

This summary discusses the guidance FINRA has provided through Regulatory Notice 19-10[1] regarding communications firms should have with their clients when a registered representative departs through resignation or termination.

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