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Implementation Considerations: Reg BI (PDF)
Eversheds Sutherland via JDSupra 
[Guidance Overview] July 15, 2019 "Firms that will continue to provide broker-dealer services to customers who are not retail customers ... might want to ensure that their systems are able to identify accounts that would not be considered retail customer accounts subject to Reg. BI. Firms will also want to keep in mind that they will need to preserve their existing compliance and operational structure for customer accounts that are not covered by Reg. BI." MORE >> |
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