Kurt Wolfe

Kurt Wolfe

Quinn Emanuel

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What to Expect from SEC Enforcement: Regulation Best Interest

The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities transactions or investment strategies. ...more

12/17/2021  /  Broker-Dealer , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , NASAA , Popular , Regulation Best Interest , Securities and Exchange Commission (SEC)
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