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None of Your BI Business? – The Impact of Regulation BI on Broker-Dealers and Investment Advisers

Regulation Best Interest Now Published in Federal Register: What Does This Mean for Your Firm?
July 19, 2019
FinCEN Updates Advisory on Business Email Fraud: Billions Thought to Have Been Stolen
July 25, 2019

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the fiduciary duty for investment advisers by issuing Regulation Best Interest (“Reg BI”). The SEC is giving firms a transition period until June 30, 2020.

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