Litigation Risks Posed by the SEC’s Regulation Best Interest -
Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more
1/14/2020
/ Arbitration ,
Best Interest Standard ,
Best Practices ,
Broker-Dealer ,
Conflicts of Interest ,
Cooperative Compliance Regime ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Management ,
Policies and Procedures ,
Regulation Best Interest ,
Regulatory Oversight ,
Regulatory Requirements ,
Retail Investors ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Care ,
Standard of Conduct
Amendments to the Financial Industry Regulatory Authority, Inc.'s ("FINRA's") Customer and Industry Codes of Arbitration Procedure require that all parties (except for pro se customers) to FINRA arbitrations must use the...more