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SEC and FINRA to Hold Roundtable on Regulation Best Interest and...

The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...

SEC Clarifies When Using “Advisor/Adviser” Violates Regulation Best Interest

The Securities and Exchange Commission provided clarification on its updated Regulation Best Interest frequently asked questions on the use of the terms “adviser/advisor” in...

SEC Shares Details on Initial Examinations for Reg BI and Form...

The Securities and Exchange Commission’s office of compliance inspections and examinations (OCIE) has issued two risk alerts that provide broker-dealers and investment advisers with...