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As Regulation Best Interest Enforcement Cases Accelerate, It's Time to Shift Strategy (PDF)
Stradley Ronon 
Sept. 9, 2024 "The SEC's enforcement of Reg BI appears to be a permanent addition to both its enforcement and examination programs. While the agency's early enforcement matters focused on technical violations of the regulation, its current priorities are more centered on substantive violations regarding specific products, conflicts of interest and compliance programs." MORE >> |
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