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Davison-Lawblog

Legal and Strategic Advice For Broker-Dealers, Investment Advisers and Investors

Tag: Reg BI

Written by Sharon M. DavisonJune 11, 2019June 11, 2019

But I Only Have Institutional Investors: See How Reg BI impacts your business

On June 5, 2019, the SEC on a 3 to 1 vote approved Regulation Best Interest. This regulation is the SEC’s attempt to align broker-dealers with the fiduciary rule that governs investment advisers. It has been a long-held belief that broker-dealers have internal conflicts because they sell products that are packaged by affiliates and sell […]

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