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The Stakes for a Clean Record are Now Even Higher

Effective June 30, 2020, the SEC is enforcing sweeping reform, titled “Regulation Best Interest”. What does the SEC’s Regulation Best Interest mean for brokers? The New Requirements​Effective June 30, 2020, the SEC is enforcing sweeping reform, entitled “Regulation Best Interest: The Broker-Dealer Standard of Conduct,” commonly referred to as “Reg BI.” At the same time, the SEC is also enforcing the …