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What to Expect from SEC Enforcement: Regulation Best Interest | Quinn Emanuel Urquhart & Sullivan, LLP

The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities.

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Broker-Dealer Settles FINRA Charges for Compliance Failures

A broker-dealer settled FINRA charges for compliance failures related to non-traditional exchange traded funds and for supervisory failures of customer recommendations regarding complex options trading strategies.

Xchange traded fundsSupervisory failuresComplex trading

Die Pleite der Greensill-Bank - Dokumentation - Dokureihe, ZDF, 16 06 2021, 22:45 Uhr - Sendung im TV-Programm - TV & Radio

Die Pleite der Greensill-Bank - Dokumentation - Dokureihe, ZDF, 16 06 2021, 22:45 Uhr - Sendung im TV-Programm - TV & Radio
tele.at - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from tele.at Daily Mail and Mail on Sunday newspapers.

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16 06 2021: Vorschlag (Tageszeitung junge Welt)

16 06 2021: Vorschlag (Tageszeitung junge Welt)
jungewelt.de - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jungewelt.de Daily Mail and Mail on Sunday newspapers.

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