FINRA Enforcement & Regulation Best Interest

Regulation Best Interest in Action- What a Recent FINRA Complaint Reveals About Excessive Trading Risks

Jeffrey Sonn
Feb 04, 2026
#churning cost-to-equity ratio - #elderly investor protection FINRA - #excessive trading FINRA complaint - #FINRA supervisory failures - #Regulation Best Interest Reg BI - #turnover rate securities fraud

When Regulation Best Interest (Reg BI) went into effect in June 2020, it was designed to raise the standard of conduct for broker-dealers. At its[...]