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Six Big To-Do List Items for Reg BI Compliance, Financial Advisor IQ

October 24, 2019

Morgan Lewis partner Ben Indek recently discussed the six major tasks broker-dealer firms are working on to comply with the US Securities and Exchange Commission’s Regulation Best Interest at the SIFMA Compliance and Legal Seminar in New York. Key takeaways from his presentation are highlighted in this Financial Advisor IQ article.

Read the full Financial Advisor IQ article >>