Waylon Bryson

Waylon Bryson

Kilpatrick

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Insights into the States' 2021 BD Examination, Enforcement Priorities

Putting Teeth on Reg BI (to take a bite out of complex products sales), Protecting Seniors (from romance scams, affinity frauds, and rogue POAs), Scrutinizing Bank-Based Reps, DBAs, and Remote Supervision, and the beginning...more

5/20/2021  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Form CRS , Investment Adviser , Regulation Best Interest , Regulation BI , Retail Investors , Securities and Exchange Commission (SEC)
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