04.03.24
Reg BI To Be 2025 SEC Exam Priority
by: Melanie Waddell
The U.S. Securities and Exchange Commission (SEC) will continue in 2025 to prioritize compliance with Regulation Best Interest (Reg BI) in exams, with likely areas of focus to be on complex or illiquid products, according to Rina Hussain, associate director of the SEC’s broker-dealer exam program. Speaking on a panel at the Practising Law Institute’s SEC Speaks conference, Hussain said that Reg BI will continue to be a priority, “especially since we’re focused on retail investors.”
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