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SEC Adopts Regulation Best Interest
McGuireWoods Link to more items from this source
[Guidance Overview]
June 10, 2019

"[B]roker-dealers will be required to act in the best interests of retail customers when making investment recommendations and may not put their financial interests 'ahead of the interests of a retail customer when making recommendations.' Reg BI includes.... [1] Disclosure Obligation ... [2] Care Obligation ... [3] Conflict of Interest Obligation ... [4] Compliance Obligation: ... The Commission also issued two interpretations."

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