The SEC's New AI Plan Expands Reg BI — and More
By Melanie WaddellIndustry attorneys say the plan would impose potentially burdensome conflict-of-interest requirements on BDs and advisors.
May 19, 2023
More Sweeps, Reg BI Cases on the WayMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 19, 2023
Study Up! SEC Reg BI Bulletins Will Be Used in Exams, Compliance Pros SayThe bulletins are "essentially a roadmap" to what examiners will focus on, Commonwealth's Peggy Ho says.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 18, 2023
SEC Is Mulling Reg BI Rewrite: LawmakerA Republican congressman warned that attempting to rewrite the rule through guidance or FAQs could violate the law.
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.