SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal
The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.
SEC Enforcement Director Gurbir Grewal told lawmakers Tuesday that his division will help ensure Regulation Best Interest delivers on its investor protection promises.
In an appearance before a House subcommittee, Grewal indicated that the Securities and Exchange Commission’s first Reg BI enfor
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