Tag Archives: Regulation BI

Release of Regulation Best Interest to be Considered by SEC on June 5

The Securities and Exchange Commission (SEC) announced that it has scheduled an open meeting on June 5 to consider pending rulemaking related to the relationship of broker-dealers and investment advisers with their customers stemming from proposed Regulation Best Interest, and addressing the standard of care that investors should receive from broker-dealers and investment advisers. The … Continue reading Release of Regulation Best Interest to be Considered by SEC on June 5