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SEC Fines Broker-Dealer For Slacking On Reg BI Compliance

By Emilie Ruscoe ( September 22, 2023, 10:30 PM EDT) -- A Wisconsin broker-dealer has agreed to pay $50,000 to resolve U.S. Securities and Exchange Commission allegations it ran afoul of regulations aiming to ensure firms act in their clients' best interests and avoid potential conflicts of interest....

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