Legal
FINRA Pledges to Avoid Playing 'Gotcha' with Reg BI Enforcement
While FINRA enforcement staff may bring action against firms that fail to comply with Regulation Best Interest, the agency will not look to play “gotcha,” echoing the agency’s oft-repeated decree on how it is approaching Reg BI examinations and what they will (and will not) entail. FINRA enforcement staff will…
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