Tag: Reg BI examinations

Reg BI and PTE 2020-02 The Perfect Regulatory Storm

Reg BI and PTE 2020-02: The Perfect Regulatory Storm

Two major regulatory changes are currently bearing down on financial professionals and broker-dealers. Regulation Best Interest (Reg BI) came into effect on June 30, 2020, requiring that broker-dealers and financial […]

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Reg BI Exams – The Care Obligation

ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet […]

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