Among the many topics covered were Reg BI, technology, bonds and equity market structure, including best execution, as well as digital assets and off-channel communications.
Robert Cook, CEO of FINRA, posed some illuminating questions to Chair Gensler on day one of the FINRA Annual conference in Washington DC.
RC: Reg BI was new for all last year and kept us and the SEC very busy. How successful has the new regulation been in strengthening BD
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