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SEC Proposes a New Standard of Care for Broker-Dealers: Regulation Best Interest

Posted in Broker-Dealer Regulation

On April 18, 2018, the SEC introduced new Regulation Best Interest for broker-dealers and their associated persons when dealing with retail customers. This alert provides background of broker-dealer regulation, an overview of Regulation Best Interest, and our take on what this means for broker-dealers going forward.

This alert is one in a series of Client Alerts on recent SEC proposals regarding regulation of broker-dealers and investment advisers.

Read our client alert.