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Joshua J. Waldbeser and Fred Reish
By Joshua J. Waldbeser and Fred Reish | 1/8/2020
In June 2019, the SEC finalized its “best interest” rulemaking package, including:
Regulation Best Interest: The Broker-Dealer Standard of Conduct (“Reg BI”), governing recommendations to retail customers by broker-dealers;
Interpretation Regarding Standard of Conduct for Investment Advisers...
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