Articles Posted in BI

U.S. SEC Warns Brokers About Sales Contests That Violate Regulation Best Interest
Greco & Greco, P.C.

The United States Securities Exchange Commission (SEC) recently issued a Staff Bulletin which discussed the use of sales contests or other sales incentives by FINRA Broker-Dealer firms in the context of SEC Regulation Best Interest (Reg BI). Reg BI, 17 CFR 240-15l-1, specifically describes the “best interest” obligation as follows in section (a)(1): “A broker,…

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