• 2021 Regulation Best Interest Phase Two Report

  • Nov 23 2021
  • Duración: 19 m
  • Podcast

2021 Regulation Best Interest Phase Two Report

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  • Resumen

  • Chair of NASAA’s Regulation Best Interest Implementation Committee and Ohio Securities Commissioner Andrea Seidt discusses notable findings from NASAA's 2021 Reg BI Phase Two Report. The report announces the results of a nationwide survey conducted by state securities regulators that provides the first comprehensive look at broker-dealer industry policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.

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