Tag: Reg bi
FINRA ups its Game with Reg BI Enforcement
FINRA Sanctions Laidlaw Brokers for violation REG BI in Excessive Trading Case According to an article this week in Financial Planning,...
SEC has Record year for Enforcement Actions in 2022
The Securities and Exchange Commission Collected more than $6.4 Billion in 2022 According to Financial Advisor IQ, the Securities and...
Registered Investment Advisor (RIA) – Securities Fraud Attorneys
How does a Registered Investment Advisor (RIA) differ from a Broker Dealer? A registered investment advisor (RIA) is an individual or...
SEC Approves “Regulation Best Interest”
SEC Approves Advice Regulation Best Interest Rule, but is it enough to Protect Investors? According to reports, the Securities and Exchange...
