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Thought Leadership in Action

Securities Lawyers Expect Escalation in Reg BI Enforcement

As we approach the second anniversary of Regulation Best Interest (Reg BI) going into effect, many are speculating news of the first major enforcement actions related to Reg BI violations will come soon. While it seems regulators have given firms a bit of grace as they transition to the new rules, top securities lawyers expect to see the Securities and Exchange Commission (SEC) and Finan...

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