Reg BI in 2026: What the SEC's Latest Enforcement Case Means for New Reps
The SEC's latest Reg BI case and FINRA's 2026 findings show why costs, conflicts, and recommendation analysis matter for new reps and exam candidates.
June 15, 20269 min
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Broker Dealer Compliance Articles
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FINRA's Proposed Rule 2166 Explained: Trusted Contacts, Fraud Delays, and What New Reps Should Know
FINRA's proposed Rule 2166 would give broker-dealers a five-business-day fraud delay for any adult customer, while updates to Rules 4512 and 2165 would expand trusted-contact and temporary-hold tools.
June 15, 20269 min