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Bradley Arant Boult Cummings LLP

SEC Targets Broker-Dealers for Reg BI Violations

Bradley Arant Boult Cummings LLP on

On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of Regulation Best Interest...more

UB Greensfelder LLP

Reg BI Continues To Tantalize And Confuse Both The Industry And The Regulators

UB Greensfelder LLP on

My young boys will sometimes chase me around the house, catch me, and yell “gotcha” as they drag me off to their pretend jail. No matter how much I plead that I’ve done nothing wrong, I always end up in jail, despite having...more

Faegre Drinker Biddle & Reath LLP

Seven States and D.C. Aggressively Challenge Reg BI

Faegre Drinker Biddle & Reath LLP on

On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more

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