February 06, 2023

Sandra Grannum Comments on Regulation Best Interest Enforcement With Financial Planning

In “FINRA Steps up Reg BI Enforcement With Excessive Trading Case,” Financial Planning turned to business litigation partner Sandra Grannum for her commentary on the Financial Industry Regulatory Authority (FINRA) conducting investigations following violations of Regulation Best Interest (Reg BI).

Grannum commented that she has never entertained any doubts that regulators would one day step up their enforcement of Reg BI. “It’s soon going to become the norm,” she said.

The full article is available for Financial Planning subscribers.

Full Article

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