When making such a recommendation to a retail customer, you must act in the best interest of the retail customer at the time ...

Regulation Best Interest (Reg BI) went into effect on Sept. 10, 2019, with a compliance date of June 30, 2020.

Each of which is a registered broker-dealer and member of FINRA. ETFs and Mutual Funds are subject to market risk, including loss of principal. 8317 UFS 3/23/2020 2123-NLD-3/23/2020 ...

The Dodd-Frank Act also requires that the SEC submit a report on any gaps in the regulation of broker-dealers in providing “personalized investment advice” to their “retail customers.” ...

On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct. Reg BI, as it is called, requires broker-dealers to act in the best ...

Emerson Equity and its advisor, Tony Barouti, were likely the largest sellers of defunct GWG L bonds.

Broker-Dealer Regulations Broker-dealers are subject to regulatory oversight from organizations such as the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange ...

Resisting calls to delay his plan, new regulations affecting broker-dealers in Massachusetts will take effect March 6, after a filing by Secretary of State William Galvin.

Arthur B. Laby, Reforming the Regulation of Broker-Dealers and Investment Advisers, The Business Lawyer, Vol. 65, No. 2 (February 2010), pp. 395-440 ...