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Regulation Best Interest: Emerging Arbitration, Regulatory, and Enforcement Developments  


Author:  Lara C. Thyagarajan.; Kathryn L. Alessi.; Allison R. Ferraris.


Source: Volume 56, Number 10, May 15 2023 , pp.135-141(7)




Review of Securities & Commodities Regulation

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Abstract: 

In this article, the authors catalogue the latest key developments surrounding Reg BI in both the arbitration and enforcement spaces. They conclude by highlighting important takeaways from recent matters for broker-dealers and practitioners alike.

Keywords: Reg BI; Care Obligation; SEC and FINRA EXAM and Enforcement Developments; S.E.C. v. W. Int’l Sec., Inc.; In re Malico

Affiliations:  1: Sidley Austin LLP; 2: Sidley; 3: Sidley.

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