LeGaye Law Firm - Financial & Regulatory Compliance
Tel: 281.367.2454
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Tag Archives: Regulation Best Interest (Exchange Act Rule 15l-1)

Brokerage or Advisory? How Can Dual Registrants Defend the Account-Type Decision?

September 21, 2026Legal AlertsBrokerage and Advisory Account Recommendations, Dual Registrant Account-Type Supervision, FINRA 2026 Annual Regulatory Oversight Report - Reg BI and Form CRS, Investment Adviser Fiduciary Duty - Investment Advisers Act Section 206, Regulation Best Interest (Exchange Act Rule 15l-1)Daniel LeGaye

Key Question How does a dual registrant demonstrate that recommending, or continuing to recommend, a brokerage account rather than an advisory account, or vice versa, was appropriate for the particular … Continue reading Brokerage or Advisory? How Can Dual Registrants Defend the Account-Type Decision? →

Do Your Firm’s Fees, Incentives and Disclosures Tell the Same Story?

August 10, 2026Legal Alerts, VideosEconomic Conflicts of Interest, Form ADV Part 2A Conflict Disclosure, Investment Adviser Compliance Rule (Advisers Act Rule 206(4)-7), Investment Adviser Fiduciary Duty (Advisers Act Section 206), Regulation Best Interest (Exchange Act Rule 15l-1)Daniel LeGaye

Key Question Are broker-dealers and investment advisers doing enough to identify, mitigate, disclose, and test the economic incentives that may influence their recommendations and services? Our View Broker-dealers, RIAs, compliance … Continue reading Do Your Firm’s Fees, Incentives and Disclosures Tell the Same Story? →

Legal Alerts

  • SEC Performance-Fee Proposal: Could More SMA Clients Soon Qualify? October 19, 2026
  • What Happens to FINRA Rule 2030 if the SEC Rescinds Rule 206(4)-5? October 12, 2026

Videos

  • What Happens to FINRA Rule 2030 if the SEC Rescinds Rule 206(4)-5?
  • FINRA Rule 3290 Is Approved: What Broker-Dealers Should Do Before It Takes Effect

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2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380

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Fax: (866) 338-6353
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