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Expert Analysis

FINRA's Suitability Rule Vs. SEC's 'Best Interest' Reg

By Brian Rubin, Melissa Fox and Amanda Giffin ( January 15, 2019, 1:19 PM EST) -- In 2019, according to Jay Clayton, chairman of the U.S. Securities and Exchange Commission, a "key priority" for the SEC will be adopting the proposed Regulation Best Interest.[1] That regulation would "require broker-dealers to act in the best interest of their retail customers."...

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