What should Broker-Dealers and Investment Advisory Firms be doing to comply with these new regulatory measures?
On June 5, 2019, the SEC adopted a series of rulemakings and interpretations intended to increase transparency in the financial services industry while preserving investors' access to the market. These initiatives include Regulation Best Interest, the Form CRS Relationship Summary, and a pair of interpretations under the Investment Advisers Act of 1940.
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Continuing Education Credit:
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