FINRA Annual 2024: Industry execs take on Gen AI, Reg BI, WFH and more
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
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SEC Reg BI
The rule is targeted specifically at retail customers and encompasses both the firm and its staff when these are making recommendations of any:
The obligation to place the interest of the retail customer ahead of that of the firm or associated person can be satisfied if the following obligations are met:
Disclosure obligation
Provide the customer in writing full and fair disclosure of:
Care obligation
When making the recommendation exercise reasonable diligence, care, and skill to:
Conflict of interest obligation
Establish, maintain, and enforce written policies and procedures reasonably designed to:
Compliance obligation
Establish, maintain and enforce written policies and procedures reasonable designed to achieve compliance with Reg BI.
FINRA Annual 2024: Industry execs take on Gen AI, Reg BI, WFH and more
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
Julie DiMauro5 min read
SIFMA 2024: Robert Cook talks about Reg BI and CAT
FINRA's CEO discussed how the SEC's flurry of rulemaking has affected his agency.
Julie DiMauro3 min read
SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
Supervision
FINRA Annual 2024: Industry execs take on Gen AI, Reg BI, WFH and more
Compliance
SIFMA 2024: Robert Cook talks about Reg BI and CAT
SEC
SEC announces 2024 exam priorities
SEC alleges the firm and representative failed to exercise reasonable diligence, care, and skill in making recommendations.
Julie DiMauro4 min read
Disciplinary decisions issued June 22 – 28, 2024.
Thomas Hyrkiel2 min read
The SEC Office of the Investor Advocate's latest report details social media's impact on investor fraud and its evaluation of broker and adviser standards of conduct.
Julie DiMauro3 min read
Disciplinary decisions issued May 18 – 24, 2024.
Thomas Hyrkiel1 min read
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
Julie DiMauro5 min read
Disciplinary decisions issued May 11 – 17, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued April 6 – 12, 2024.
Thomas Hyrkiel1 min read
Disciplinary decisions issued March 30 – April 5, 2024.
Thomas Hyrkiel2 min read