FINRA’s 2022 Exam Findings: Reg BI and the Care Obligation
It has been almost two years since Regulation Best Interest (Reg BI) came into effect. Recently, the Financial Industry Regulatory Authority (FINRA) published their 2022 Exam Report. The report brings renewed attention to meeting the regulatory requirements, as it shows that many broker-dealers (B-Ds) are failing to address various aspects of Reg BI’s Care Obligation. […]
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