WASHINGTON—Fed Chairwoman Janet Yellen faced pointed questions from lawmakers in both parties Thursday about the Fed’s handling of financial regulation, the latest evidence of the political minefield ...
Insurance agents and brokers are carefully preparing for Regulation Best Interest with training, risk assessments for conflicts of interest — and also with detailed questions to help fine-tune the ...
The Securities and Exchange Commission will increasingly ask questions about firms’ Regulation Best Interest compliance during standard examinations, rather than just during exams focused solely on ...
In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...
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