SEC Proposes Rule to Address Growing Use of AI
The Securities and Exchange Commission (SEC) proposed new rules and [...]
9
08, 2023
12
05, 2023
SEC Releases Third Reg BI Bulletin, Emphasizes Care Obligations
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
13
02, 2023
SEC Issues Risk Alert on Reg BI Policy Failures
The SEC recently released a risk alert related to Regulation [...]
11
08, 2022
Eight Takeaways from the SEC’s Recent Reg BI Bulletin
Additional clarifying guidance has been released by the Securities Exchange [...]
11
08, 2022
2022 Mid-Year Recap: Top 10 Firm Element Courses
The end of summer quickly approaching can only mean one [...]
18
07, 2022
Reg BI Cracks FINRA’s Top 15 Claims Against Brokers
The first half of the year has officially come to [...]
20
06, 2022
Four Reg BI Takeaways from the 2022 FINRA Conference
It’s hard to believe that two years ago the SEC’s [...]
20
06, 2022
SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
11
11, 2021
NASAA Finds Firms are Missing the Mark on Reg BI
When Regulation Best Interest (Reg BI) went into effect in [...]
