FINRA 2022 Report – Exam and Risk Monitoring: Reg BI Edition
Today, FINRA published the 2022 Report on FINRA’s Examination and Risk Monitoring Program. For firms that are impacted by Regulation Best Interest (Reg BI), this regulatory report is certainly insightful. It addresses over 20 regulatory areas, adding new topics including Reg BI exam findings and effective practices. Since 2020, InvestorCOM has been helping wealth management […]
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