Managing Partner Roger Barton and Operations Partner James Heavey Published by Reuters Legal News / Westlaw Today for Article on Regulation Best Interest

In an article published by Reuters Legal News / Westlaw Today entitled “Regulation Best Interest sees its first enforcement action,” Roger Barton and James Heavey recapitulate the 2020 rule change governing broker-dealer investment recommendations known as Regulation Best Interest. Roger and James break down the different component obligations required to meet the Reg BI standard, while also examining the regulation’s practical application in a recent first-of-its-kind enforcement action brought by the SEC against a group of broker-dealers and their firm.

Read the full article here.