2021 Reg BI Exams & Variable Annuities
It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles […]
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Reg BI’s Care Obligation and Reasonable Alternatives
With Reg BI now in effect, broker-dealers and their representatives will need to illustrate how they are complying with the SEC’s Regulation Best Interest (Reg BI). One of the requirements […]
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