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Hilliard Lyons' Allen: Cost of Reg BI compliance is justified
The cost of complying with the Securities and Exchange Commission's Regulation Best Interest will be worthwhile because of the consistency it will provide broker-dealers in serving their clients, said Hilliard Lyons' James Allen, SIFMA chairman emeritus for 2020. "Reg BI is arguably the most significant enhancement of conduct standards since the Securities Exchange Act of 1934," he said.
Financial Advisor IQ (11/20)
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