On June 5, 2019, a new set of regulations from the Securities and Exchange Commission (SEC) was introduced. The package aims to “enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products.”
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The Impact of Regulation Best Interest for Brokers-Dealers
By David Grau Jr. on Mar 31, 2022 7:54:46 AM