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Financial Topics

Reg BI

Explore how the SEC’s Reg BI aims to get financial professionals to put clients’ interests first.

Webcasts

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It's Time for a Reg BI Crackdown at SEC: Ex-Commissioner
FINRA Fines Firm for Reg BI Failures
Morgan Stanley Rep Violated Reg BI With ETF Sales: FINRA
Broker Violated Reg BI With Mutual Fund Switches: FINRA
Merrill Violated Reg BI With $1.5M in Avoidable Fees: FINRA

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Expect SEC Reg BI Actions to Heat Up: Law Firm
FINRA Suspends Rep for Violating Reg BI With L Bond Sales
FINRA Sanctions Firm, CEO for Reg BI Violations
Reg BI to Be 2025 SEC Exam Priority
FINRA's Top 5 Fine Categories in 2023