Finra Examiners Detail Reg BI Failures In New Report
January 17, 2024 by Tracey Longo
Finra’s examination program has found that a number of broker-dealers have been violating Regulation Best Interest by failing to highlight conflicts of interest with costly products and excessive recommendations.
That’s the upshot of the regulator’s 2024 annual report released today.
Click HERE to read the full story via Financial Advisor
Originally Posted at Financial Advisor on January 9, 2024 by Tracey Longo.
Categories: Industry Articles
