Bates News,Industry News - 09-05-19

Bates Managing Director Hank Sanchez Publishes New Reg BI Article in NSCP Currents

Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and Expert Consultant Hank Sanchez, Esq. The article was published in the July 2019 issue of NSCP Currents. In it, Hank examines two FINRA rules that are commonly cited in FINRA enforcement matters—FINRA Rules 2010 (Standards of Commercial Honor and Principles of Trade) and 2111 (Suitability)—and discusses whether those rules may become subsumed or nullified by Reg BI.

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Click the link/button above to download your complimentary PDF, and don’t miss Hank at the 2019 NSCP National Conference, October 21-23 at the Hilton Baltimore. Hank will be speaking on the Wednesday panel “10A: BD – Advanced Considerations for Performing Due Diligence.” Stop by Bates Group’s booth #33 at the conference to talk with a Bates Compliance Group leader about services and solutions for IAs, BDs, Private Funds and Hedge Funds.

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