Reg BI Is a 'Work in Progress': SEC Chief
By Melanie WaddellSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
March 07, 2023
More States Adopt Reg BI-Compatible Annuity Sales StandardsGeorgia, Illinois and Tennessee have joined 30 other states in adopting NAIC's annuity sales standard update.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 02, 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI InfractionsThe brokers recommended an excessive and unsuitable series of trades, FINRA says.
January 30, 2023
SEC Issues New Warning on Reg BI Compliance FailuresBDs are using outdated compliance systems, resulting in violations, the SEC exam division says.
January 10, 2023
4 Top FINRA Exam Priorities in 2023A new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.