Month: April 2020

Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an OCIE Risk Alert. The staff is preparing to launch its first inspection for compliance with Regulation Best …

The First OCIE Inspection of Brokers Re Reg Best Interest Read More »

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Holidays across the U.S. are being disrupted as the COVID-19 pandemic stay-in-place orders continued to keep business largely closed and most people at home. While the crisis continues many believe that there may be hope on the horizon. Whether they …

This Week In Securities Litigation (Week of April 13, 2020) Read More »

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