Updated September 1, 2023, at 9:25 AM
The Regulation Best Interest, or Reg BI, effective date was June 30, 2020.
As financial professionals and advisors continue to dip their toes in the new compliance-laden waters, the question is still swirling around: What is Reg BI?
The FINRA Reg BI checklist is…encompassing to say the least. Taken effect on June 30, 2020, the new FINRA Reg BI standard – along with Form CRS – outline what broker-dealers (BDs) …
Updated April 19, 2024, at 1:13 PM Everyone remembers where they were on the morning of September 11, 2001. The tragic events of that day lead to the cancellation of sporting events, …