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 Commentary, news and links of interest to financial advisers.

Regulation BI
Brokers Information Center

Introduction to Regulation Best Interest

SEC Regulation Best Interest In June of 2019 the SEC approved Regulation Best Interest, which requires broker-dealers to act in the best interest of their retail customers when making recommendations as to securities or investment strategies. In adopting the regulation, the SEC stated that the regulation “enhances the broker-dealer standard […]