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Tag: exams

Reg BI’s Care Obligation Under Scrutiny by SEC

Blog November 18, 2021

On March 3, 2021, the US Securities and Exchange Commission (SEC) Division of Examinations announced its examination priorities including a greater focus on Regulation Best Interest (Reg BI). Reports from […]

Reg BI: A Dialogue with Tom Selman, Scopus Financial Group

Blog March 25, 2021

Recently, InvestorCOM had the pleasure of speaking with Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA’s Regulatory Policy Division. In this dialogue, Tom discusses […]

Tag: exams

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