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NASAA Report on BD Compliance With Reg BI: Finds Progress, but Specifies Work To Be Done | Carlton Fields

A September report of the North American Securities Administrators Association (NASAA) on broker-dealer compliance with the SEC’s Regulation Best Interest (Reg BI) finds.

SEC Examination Priorities for 2024 | Harris Beach PLLC

Regulation BI: Key Perspectives from Recent Report by State Regulators | Bressler, Amery & Ross, P C

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