Reg BI Remains Top Priority for 2023 Exams
By Melanie WaddellAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.
September 15, 2022
SEC Chief Presses Senators to Fund More Reg BI ExamsIn the last completed fiscal year, the agency conducted over 3,000 exams, exceeding the previous year, Gensler testified.
August 04, 2022
Reg BI Will Be Defined Case by Case, Cetera's Chief Legal Officer Says: SEC RoundupThe SEC "intends to enforce Reg BI however they define it," says Lisa Gok.
August 03, 2022
New SEC Guidance Tackles How to Handle Conflicts of InterestIn addressing conflicts under Reg BI and the Advisers Act fiduciary standard, disclosure isn't enough, the SEC warns.
July 19, 2022
More Reg BI Actions May Be Ahead: SEC Enforcement ChiefExams related to Reg BI have "yielded a number of referrals," Gurbir Grewal tells lawmakers.
July 18, 2022
Reg BI Makes FINRA's Top Customer Arb List, a FirstThough Reg BI was implemented two years ago, "it takes a while for cases to bubble up."