Ensuring Firm Compliance: A Checklist to Help Your Firm Prepare for a Reg BI Examination

Brokers may be anxious about how the new SEC ruling, Regulation Best Interest, will change their firms day-to-day now that it’s gone into effect. FINRA may have also shared communications about required adjustments to ensure a client’s best interest was part of a recommendation, beyond providing a Customer Relationship Summary (CRS). Investor preference for transparency, fee-based investing and lower-cost investments will continue to shape the industry and addressing trends like these now can help strengthen client relationships and differentiate providers. In this checklist, we offer a list of steps broker/dealers should take to ensure their firm is prepared for an eventual Regulation Best Interest examination.

In this paper, you will learn:
  • How Regulation Best Interest impacts your practice.
  • Ways to ensure a reasonable basis for making investment recommendations.
  • Preparing for an eventual Reg BI examination by FINRA.
  • Affordable Reg BI solutions available to your firm.
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