Insights

2 min read

How Firms Can Keep on Track with Reg BI

The broker-dealer standard of conduct has swiftly evolved in recent years, with regulators moving beyond mere “suitability” obligations in favor of a...

4 min read

Reg BI: The Care Obligation and Reasonable Alternatives

As broker-dealers prepare to implement policies to comply with the SEC’s Regulation Best Interest (Reg BI), one requirement they should be cognizant...