Tag: Reg. Best Interest

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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Regulation Best Interest, the long studied and discussed Commission rule that addressed the standards governing broker-dealers when making an investment recommendation was challenged by in a suit filed by seven states and the District of Columbia. State of New York …

Suit by States Challenges SEC Regulation Best Interest Read More »

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