Loan & Distribution Specialist AimPoint Pension
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Compass
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Regional Vice President of Sales The Retirement Plan Company
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Bates & Company, Inc.
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AimPoint Pension
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Takeaways for Broker-Dealers After SEC's Reg BI Action
Carlton Fields Aug. 24, 2022 "In June, the [SEC] filed its first complaint alleging violations of the care obligation and the compliance obligation of Regulation Best Interest, or Reg BI ... Analysis of the complaint provides some insight as to how to facilitate compliance with the rule and how to defend such claims going forward." [SEC v. Western International Securities, Inc., No. 22-4119 (C.D. Cal. complaint filed Jun. 15, 2022)] |
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