Brokers Need to Watch for Heavy New SEC Enforcement

Monday, 29 March 2021 17:02

Brokers Need to Watch for Heavy New SEC Enforcement

Written by FINSUM

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Brokers Need to Watch for Heavy New SEC Enforcement

(Washington)

Brokers, those that are dually-registered, pretty much anyone covered by Reg BI, you should be on the lookout for a pending crackdown by the new Biden administration-led SEC…see the full story on our partner Magnifi’s site

Published in Wealth Management

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brokers
BDs
SEC
enforcement
reg bi
fiduciary rule
DoL