2025 is here, and so is FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which provides firms with insight into FINRA’s findings from recent observations and...more
2/26/2025
/ Artificial Intelligence ,
Broker-Dealer ,
Cybersecurity ,
Data Security ,
Fraud ,
Investment ,
Regulation Best Interest ,
Regulatory Oversight ,
Risk Management ,
Scams ,
Securities Regulation ,
Technology ,
Third-Party Risk
Since Regulation Best Interest’s (Reg BI) June 30, 2020 compliance date, the Division of Examinations of the Securities and Exchange Commissions (the Division) has been busy implementing examinations of broker-dealers to...more
3/10/2023
/ Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Policies and Procedures ,
Regulation Best Interest ,
Regulation BI ,
Rollover Equity ,
Securities and Exchange Commission (SEC) ,
Standard of Care
We have made it a point previously in this blog to track developments of the SEC’s Regulation Best Interest (Reg BI), even speculating more aggressive enforcement actions could be coming due to certain Reg BI deficiency...more