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Reg BI: What you can do now to prepare
- October 14, 2019
- Posted by: Grant Cox
- Category: Blog, Regulation
No CommentsIf you’re an independent financial advisor, there’s really no way to know exactly how the SEC will enforce their new Regulation Best Interest (Reg BI) rules, which go into effect June 30, 2020. However, you can still do your best to prepare for the regulatory change…
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FINRA and the SEC: Regulators of the Financial Services
- January 30, 2019
- Posted by: Grant Cox
- Category: Blog
The financial services industry is perhaps the most regulated in the United States, and for good reason…