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The Review of Securities & Commodities Regulation

Regulation Best Interest: Emerging Arbitration, Regulatory, and Enforcement Developments

May 24, 2023
Authors
Lara C. ThyagarajanKathryn L. AlessiAllison R. Ferraris
In this article, the authors catalogue the latest key developments surrounding Reg BI in both the arbitration and enforcement spaces. They conclude by highlighting important takeaways from recent matters for broker-dealers and practitioners alike.
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Contacts

Thyagarajan, Lara C.
パートナー
Alessi, Kathryn L.
パートナー
Ferraris, Allison R.
Managing Associate

Capabilities

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