In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...

Jay Clayton, the chairman of the Securities and Exchange Commission, told broker-dealers in early April that Regulation Best Interest will be implemented on time, even though the Covid-19 crisis has ...

While most broker-dealers are making a “good faith effort” to comply with Regulation Best Interest, some firms are not properly implementing the massive new retail investment advice rules designed to ...

Now that financial firms know that the deadline for implementing the Securities and Exchange Commission’s higher investment-advice standard for brokers remains June 30, they have to figure out what ...

In a rare display of an industry trade group’s support for new regulation and enforcement, independent wealth managers are praising the SEC’s Regulation Best Interest. Processing Content More than 80 ...

More than half of healthcare organizations have yet to implement business intelligence systems. And with shifts toward pay-for-performance, that could leave their bottom line open to financial hits.

Despite the ongoing spread of COVID-19 in the United States that has forced many firms to implement business continuity plans and work remotely, the SEC is holding fast to June 30 as the ...