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Ep. 1 - Hot Take: FINRA's First Reg BI Enforcement Settlement
In this episode, Matt provides his hot take on FINRA's first Regulation Best Interest (Reg BI) Enforcement settlement. Is this settlement a game changer? What can we glean from this settlement as to how excessive trading cases under Reg BI will be treated going forward?
For more information, please visit us at AdvisorEsq.com.
ATTORNEY ADVERTISING. PAST RESULTS DO NOT GUARANTEE FUTURE OUTCOMES. NONE OF THE CONTENT IN THIS EPISODE SHALL BE CONSTRUED AS LEGAL, INVESTMENT, OR TAX ADVICE. THE CONTENT IN THIS EPISODE DOES NOT CREATE AN ATTORNEY/CLIENT RELATIONSHIP. THE INFORMATION PRESENTED IN THIS EPISODE IS FOR GENERAL INFORMATIONAL PURPOSES ONLY AND SHOULD NOT BE RELIED ON FOR ANY PURPOSE. THE OPINIONS CONTAINED IN THIS EPISODE IS NEITHER ENDORSED NOR OFFERED BY ELLENOFF GROSSMAN & SCHOLE LLP.
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By AdvisorEsqIn this episode, Matt provides his hot take on FINRA's first Regulation Best Interest (Reg BI) Enforcement settlement. Is this settlement a game changer? What can we glean from this settlement as to how excessive trading cases under Reg BI will be treated going forward?
For more information, please visit us at AdvisorEsq.com.
ATTORNEY ADVERTISING. PAST RESULTS DO NOT GUARANTEE FUTURE OUTCOMES. NONE OF THE CONTENT IN THIS EPISODE SHALL BE CONSTRUED AS LEGAL, INVESTMENT, OR TAX ADVICE. THE CONTENT IN THIS EPISODE DOES NOT CREATE AN ATTORNEY/CLIENT RELATIONSHIP. THE INFORMATION PRESENTED IN THIS EPISODE IS FOR GENERAL INFORMATIONAL PURPOSES ONLY AND SHOULD NOT BE RELIED ON FOR ANY PURPOSE. THE OPINIONS CONTAINED IN THIS EPISODE IS NEITHER ENDORSED NOR OFFERED BY ELLENOFF GROSSMAN & SCHOLE LLP.