Expect SEC Reg BI Actions to Heat Up: Law Firm
By Melanie WaddellDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
March 14, 2024
FINRA's Top 5 Fine Categories in 2023Total fines surged 63%, according to the law firm Eversheds Sutherland.
March 12, 2024
FINRA Suspends Ex-Rep Over Reg BI ViolationsThree clients experienced excessive and unsuitable trades that were not in their best interest, FINRA said.
March 08, 2024
No Changes Coming to Reg BI: SEC ChiefThe next front in the SEC's war on conflicts of interest is the controversial predictive data analytics rule.
February 23, 2024
Ex-Broker Hit With Reg BI Fine, SuspensionA former Network 1 Securities rep recommended excessive trades in a 63-year-old client's account, FINRA says.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 09, 2024
These Controversial SEC Rules Are Likely to Get Passed This YearThe regulator adopted 24 rules in 2023 and is pressing on at a pace that's causing concern.