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June 2019 — Legislative Intelligence Update

By Investments & Wealth Institute | July 15, 2019

2019-07-15

This whitepaper reviews the U.S. Securities and Exchange Commission’s (SEC or Commission) recently updated market conduct standard for brokerage firms, Regulation Best Interest (Reg BI). Instead of ending the debate over the appropriate standard for financial advisors, the SEC’s recent action exacerbates the internal divide within the financial services industry.

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