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FINRA/SEC Will Not Slow Down for COVID-19
Wilson Elser 
[Guidance Overview] May 8, 2020 "[T]he proposed changes to FINRA's suitability rules will clarify whether Reg BI or the suitability rules will apply, eliminating confusion and allowing firms to focus on compliance with the higher standards in Reg BI, when applicable. At the same time, the change will provide continued protection for customers who are not retail customers covered by Reg BI.... If adopted, the proposed amendment to this rule will take effect on June 30, 2020." MORE >> |
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