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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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Reg BI to Be 2025 SEC Exam Priority
FINRA's Top 5 Fine Categories in 2023
FINRA Suspends Ex-Rep Over Reg BI Violations
No Changes Coming to Reg BI: SEC Chief
Ex-Broker Hit With Reg BI Fine, Suspension

Podcasts

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

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TIAA to Pay $2.2M for Reg BI Violations in IRA Program
These Controversial SEC Rules Are Likely to Get Passed This Year
More Reg BI Actions on The Way: FINRA Enforcement Chief
FINRA Suspends Broker Over Reg BI Violations
FINRA Releases Reg BI Notice