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Articles Posted in Representative Compensation

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SEC Warns Broker Dealers and Investment Advisers About Conflicts of Interest Related to Compensation Incentives

On August 3, 2022, the U.S. Securities and Exchange Commission (“SEC”) published a Staff Bulletin related to compensation incentives that may cause a conflict of interest in violation of Regulation Best Interest (“Reg BI”) rules and the SEC’s fiduciary standards for investment advisers (“IA fiduciary standard”). Reg BI and the…

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