EP #2: Regulation Best Interest and Investor Protection

How do new regulations in 2024 reshape the financial landscape, emphasizing investor protection over brokers' gains? Join Kevin Rowe and Jeremy Wolf as we uncover the transformative power of Regulation Best Interest and its profound implications for prioritizing investors' needs. You'll gain insights into the heightened scrutiny on complex financial products like reverse leverage ETFs, and learn about the robust measures being implemented to bolster cybersecurity and combat money laundering. This conversation is essential for anyone looking to understand how these regulations aim to create a fairer, more transparent market environment.

In our deep dive into a significant FINRA case involving JP Morgan Securities, we analyze how failures in supervisory systems can lead to serious enforcement actions. We discuss the critical need for adaptable supervisory systems, especially for firms engaged in high-frequency trading. This episode provides invaluable perspectives on understanding regulatory risks, the evolving role of technology, and the benefits of working with professional financial advisors. For retail investors, we introduce FINRA's BrokerCheck as a powerful tool to research brokers and firms, ensuring well-informed investment decisions. Don’t miss this episode for practical tips and essential updates on navigating the evolving financial regulatory landscape.

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