Regulation Best Interest

Guidance addresses when a retail customer is judged to have "used" a recommendation

More on recommendations and also on making disclosures in Spanish

Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...

The prohibition would not extend to a B-D that is also a state-registered investment adviser

The Commission did not expressly prohibit the use of these names and titles by broker-dealers

Broker-dealers and dual registrants hoping to get right with the pending Reg BI deadline should put together a “conflicts inventory” and focus training on the ...

SRO reviewed B-Ds ongoing efforts and challenges with Reg BI

The SRO will take the same approach outlined in the Commission's two risk alerts

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...

After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest