As SEC’s Reg BI Deadline Looms, Firms Face A ‘Very Big Lift’

As SEC’s Reg BI Deadline Looms, Firms Face A ‘Very Big Lift’

Law360 (June 5, 2020, 7:17 PM EDT) — With the compliance deadline for the U.S. Securities and Exchange Commission’s Regulation Best Interest fast approaching on June 30, broker-dealers and those who advise them are gearing up for a slew of new requirements that attorneys acknowledge will be a “very big lift.” The new SEC rule […]

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As SEC’s Reg BI Deadline Looms, Firms Face A ‘Very Big Lift’

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