SEC staff issued several new FAQs on August 4 on the application of Regulation Best Interest (Reg BI) to dual registrants and dual-hatted employees that may be of interest to...
The SEC fined two affiliated dual-registrants a total of $35 million in connection with unsuitable recommendations to retail investors to buy and hold single-inverse exchange-traded funds, including in retirement accounts....
The SEC filed a complaint against a Massachusetts-based dual-registrant for failing to disclose material conflicts of interest related to mutual funds with 12b-1 fees and for engaging in principal trading...
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