The end result could be a shortage of professionals who are willing to help smaller investors.
Estimated reading time: 0 minutes, 19 seconds
SEC Commissioner Says Best Interest Reg Could Harm Investors
Securities and Exchange Commissioner Hester Peirce maintains that the regulator’s proposed Regulation Best Interest, or Reg BI, for brokers, could accelerate the trend of brokers becoming registered investment advisors who focus on larger investors. So reports Think Advisor.
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