Patricia Jo

Patricia Jo

King & Spalding

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The SEC Approves Regulation Best Interest: The Broker-Dealer Standard of Conduct

On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt Regulation Best Interest: The Broker-Dealer Standard of Conduct (hereinafter, “Regulation BI”), requiring broker-dealers and their associated...more

6/28/2019  /  Best Interest Standard , Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)
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