John Ayanian

John Ayanian

McGuireWoods LLP

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SEC Issues Risk Alert on Reg BI Deficiencies Identified During Exams

On Jan. 30, 2023, the Securities and Exchange Commission’s Division of Examinations (Division) released a Risk Alert, “Observations from Broker-Dealer Examinations Related to Regulation Best Interest,” in which the Division...more

2/3/2023  /  Broker-Dealer , Conflicts of Interest , Disclosure Requirements , Regulation Best Interest , Regulation BI , Securities and Exchange Commission (SEC)
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