We are proposing a new rule under the Securities Exchange Act of 1934 (``Exchange Act'') establishing a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.
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Regulation Best Interest
We are proposing a new rule under the Securities Exchange Act of 1934 (``Exchange Act'') establishing a standard of conduct for broker-dealers and natural persons who are associ...
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Federal Register Citation
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83 FR 21574
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“Regulation Best Interest,” thefederalregister.org (May 9, 2018), https://thefederalregister.org/documents/2018-08582/regulation-best-interest.