2021 Regulation Best Interest Phase Two Report
19m
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NASAA Talks
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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.
The episode 2021 Regulation Best Interest Phase Two Report from the podcast NASAA Talks has a duration of
19:01. It was first published
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