SEC’s Reg BI Roundtable Round-up
By EsqSocial Corporation 29/10/20
On October 26, the SEC hosted a roundtable discussion during which the SEC and FINRA shared some of their observations about how firms are doing implementing Regulation Best Interest. If you missed the live presentation, it was recorded and should be available sometime in the future on the SEC’s website......
By: Ulmer & Berne LLP