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SEC Unit Highlights 4 Key 'Best Interest' Exam Focus Areas

By Al Barbarino (April 8, 2020, 5:00 PM EDT) -- The U.S. Securities and Exchange Commission's exam unit has issued two alerts about initial compliance examinations for Regulation Best Interest and Form CRS, saying its staffers will focus on whether broker-dealers have made a "good faith effort" to comply with the new measures....

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