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Second Circuit – SEC regulation: XY Planning Network LLC v. SEC

United States Court of Appeals for the Second Circuit SEC regulation Dodd-Frank Act – Broker-dealer investment services XY Planning Network LLC v. SEC 19-2886-ag(L) Judges Sullivan, Park, and NArdini Background: The petitioners filed for review of the SEC’s Regulation Best Interest, which creates new standards of conduct for broker-dealers providing investment services to retail customers. They argue that Regulation Best Interest ...