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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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Why the SEC is being sued over Reg BI
- September 13, 2019
- Posted by: Grant Cox
- Category: Blog, News, Regulation
A coalition of state attorneys general filed a federal lawsuit against the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) rules on Monday…
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Regulation Best Interest passes SEC
- June 5, 2019
- Posted by: Grant Cox
- Category: Blog, News, Regulation
The Securities and Exchange Commission (SEC) voted 3-1 to pass the Regulation Best Interest rules this morning, along with a few other proposals making up its “advice-standards package.” …
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Where are we on the SEC Regulation Best Interest Rule?
- February 15, 2019
- Posted by: Grant Cox
- Category: Blog, Regulation
On June 21, 2018, the U.S. 5th Circuit Court of Appeals vacated the Department of Labor (DOL) fiduciary rule…
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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…