The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.
The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.
As our readers and followers know,
Senator Elizabeth Warren has written to FINRA inquiring about the status of Board-approved changes on expungement.
We reported in SAA 2018-48 (Dec.
Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.