Reg BI and the Fiduciary Standard: Compliance Guide for RIAs and Broker-Dealers
Regulation Best Interest (Reg BI) became a hot topic across the investment landscape when the SEC adopted new rulemaking guidance in June 2019. Digital broker-dealers and robo-advisers had many questions about how Reg BI and other rules apply to self-service or automation-driven investment platforms. Those questions are still widespread.