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What to Expect from SEC Enforcement: Regulation Best Interest | Quinn Emanuel Urquhart & Sullivan, LLP - Vimarsana News

What to Expect from SEC Enforcement: Regulation Best Interest | Quinn Emanuel Urquhart & Sullivan, LLP

Published: December 17, 2021

The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities...

Source: jdsupra.com
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United StatesQuinn Emanuel Urquhart SullivanTracey LongoBarron SeptGurbir GrewalMark Schoeff JrKenneth CorbinBarbara RoperErika KeltonGary GenslerRegulation Best Interest Implementation CommitteeMatter Of Robinhood FinancialDivision Of ExaminationsNational Examination Initiative Phase Iia NovDivision Of EnforcementExchange Act Release NoInvestment Adviser Use Of Technology ToMatter Of Disciplined Capital ManagementMonetary Affairs SeptEuropean Parliament Committee On EconomicWells FargoCapital Gains Research Bureau IncDivision Of Examinations ExamsDivision Of Examinations StaffSee Press
Broker-Dealer Settles FINRA Charges for Compliance Failures - Vimarsana News

Broker-Dealer Settles FINRA Charges for Compliance Failures

Published: November 25, 2021

A broker-dealer settled FINRA charges for compliance failures related to non-traditional exchange traded funds and for supervisory failures of customer recommendations regarding complex options trading strategies.

Source: natlawreview.com
Related Topics:
Xchange Traded FundsSupervisory FailuresComplex Trading