Since the outbreak of COVID-19, the U.S. Securities and Exchange Commission and FINRA have led the way among regulators in providing guidance and relief to market participants as the financial industry continues to confront...more
As McGuireWoods reported in an April 6, 2020, legal alert, the U.S. Securities and Exchange Commission (SEC) has indicated that it will not be delaying the June 30, 2020, compliance deadline for Regulation Best Interest (Reg...more