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Sunday, July 25, 2021

Reg-BI Podcast 4:SEC Exams

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The final installment of our four-part Reg BI Podcast series examines what is known about the SEC’s REG-BI Examinations. While the examinations appear to be geared towards broker-dealer’s, RIAs can learn a lot about how to comply by learning what the SEC will be looking for during these examinations.

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