InvestmentNews, Ignites | Finra Issues Regulation Best Interest Checklist for Brokers

The Securities and Exchange Commission’s Regulation Best Interest (Reg BI) goes into effect in a few short months. Our Financial Services & Products Group reviews how the Financial Industry Regulatory Authority is responding with changes to its own suitability-based rules, answering one question but leaving open others.

New fees from the Financial Industry Regulatory Authority (FINRA) are now on hold until 2027. Our Investment Funds Team examines the new schedule for public offering and private placement reviews.