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SEC Regulation

The SEC’s Proposal for Regulation Best Execution and Its Effect on Broker-Dealers

Megan Aldworth Associate Editor Loyola University Chicago School of Law, JD 2023   On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) announced a proposal for Regulation Best Execution (Reg BE). The regulation would broadly affect those buying and selling securities in a wide array of markets. Reg BE would generally require broker-dealers …
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