Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers

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FINRA has identified several items in the SEC’s Regulation Best Interest (Reg BI) that it will examine for in the first half of 2020 as firms prepare for Reg BI compliance.

In this Bottom Line videocast, Susan Krawczyk and Holly Smith discuss:

FINRA’s 2020 Priorities Letter

the nine items FINRA has targeted for Reg BI preparedness

the emphasis on recommendation-related factors in preparing for Reg See more +

FINRA has identified several items in the SEC’s Regulation Best Interest (Reg BI) that it will examine for in the first half of 2020 as firms prepare for Reg BI compliance.

In this Bottom Line videocast, Susan Krawczyk and Holly Smith discuss:

FINRA’s 2020 Priorities Letter

the nine items FINRA has targeted for Reg BI preparedness

the emphasis on recommendation-related factors in preparing for Reg BI

Discover more of the latest legal news and topics discussed by our attorneys by subscribing to the Eversheds Sutherland Legal Insights Podcast Channel.

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