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Retirement Plan › Regulation Best Interest › Financial Industry Regulatory Authority (FINRA)

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Faegre Drinker Biddle & Reath LLP on

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – SEC enforcement

Eversheds Sutherland (US) LLP on

The SEC’s Division of Enforcement is likely to be active in 2020, investigating several issues important to broker-dealers and investment advisers. In this Bottom Line videocast, Brian Rubin and Adam Pollet discuss: Cash...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #17

Faegre Drinker Biddle & Reath LLP on

The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of articles entitled “Best Interest...more

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