Download the webinar recording below!
It’s been three years since the SEC (Securities and Exchange Commission) implemented Regulation Best Interest (Reg BI) and it remains a hot topic with both political parties today. After debating for three years about how the broker-dealer standard of conduct would rival the fiduciary standard, the two standards are converging, per an April 2023 SEC Staff Bulletin.
In this webinar, we discussed:
- The history & definition of RegBI
- Post Reg BI guidance
- April 2023 Care Obligation Staff Bulletin
- Key takeaways from the first Reg BI enforcement case
- and more!
Continuing education credits will not be offered for participation in this webinar.
