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New Reg BI White Paper from Bates Research and Bates Compliance

Finra-Rules-2010-2111-dead2
With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?
September 9, 2019

Understand what Reg BI requires now — and what more you must implement before the final deadline. Read our new white paper: “SEC’s Regulation Best Interest Perspectives on Firm Compliance.”

Download Reg BI White Paper