August 26, 2021

Jim Lundy Addresses Barbara Roper’s New Senior Advisor Role to the SEC Chair With ThinkAdvisor

ThinkAdvisor turned to SEC and regulatory enforcement defense partner Jim Lundy for insight on what to expect from Barbara Roper in her new role as senior advisor to Securities and Exchange Commission (SEC) Chair Gary Gensler, such as advising on the interpretation and application of regulation best interest (Reg BI).

Lundy said that “retail sales practice standards, such as Reg BI, will continue to be interpreted and applied broadly and aggressively by the SEC’s enforcement and examinations staffs under this Commission.” He added, “It appears that Chair Gensler will be looking to Roper for guidance in these areas as his initiatives in leading the SEC continue to evolve.”

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