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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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Reg BI Spurred No "Tide-Turning Reforms," State Regulators Say

Reg BI Spurred No "Tide-Turning Reforms," State Regulators Say
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Insights into the States' 2021 BD Examination, Enforcement Priorities | Kilpatrick Townsend & Stockton LLP

advisor or
adviser in marketing materials, disclosures, customer agreements, websites, on business cards or on social media while operating in the capacity of a BD’s RR (not as an IA);
13
32 percent of BDs that allowed RRs to use the title had no prerequisite for the RRs’ use of that title (
e.g., requiring the RR to be dually registered as both an RR and IA representative).
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38 percent of BDs surveyed did not have E&O insurance to cover investor losses.
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2. Reg BI Survey, Phase Two & Examinations, 2021
The Committee plans to conduct Phase Two of the Reg BI Survey this summer, and also expects that the States will begin to conduct Reg BI examinations (both remotely, and onsite); those exams may include the Reg BI Survey or occur independent of the Reg BI Survey. It appears that originally, the Committee planned to gather the Phase Two survey results and then roll-out the Reg BI examination modules to the States – more on module ....

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CFP Board Reviews Sanction Guidelines

CFP Board Reviews Sanction Guidelines
The 15-member Commission on Sanctions and Fitness will also look to revise the standards for those who are hoping for CFP certification.
A new Certified Financial Planner Board of Standards commission will reexamine the guidelines the board uses to accept applicants for the CFP designation as well as how CFP professionals should be sanctioned when failing to comply with its code of conduct.
The 15-member Commission on Sanctions and Fitness includes investor protection advocates, state securities regulators, and financial and wealth planning executives from across the industry. CFP Board CEO Kevin Keller called the new commission “fundamental” in strengthening enforcement protocols for implementing its Code of Ethics and Standards of Conduct, which went into effect last June after a multiyear development process. ....

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