The Financial Industry Regulatory Authority’s (FINRA) annual report on examinations and risk monitoring contains insights on issues the organization uncovered in 2021 regarding broker-dealers’ compliance with Regulation Best Interest (Reg BI) during the rule’s first full year in existence.

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Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:...