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?
![Answers to Your Reg BI Questions [Infographic]](https://www.figmarketing.com/blog/wp-content/uploads/2020/07/RegBI-Infographic-Header-1170x681-1-1170x681.jpg)
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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)…
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This post on 2019 FINRA and SEC examination priorities sets to help you avoid a nightmare. One of the least favorite activities a firm goes through is a regulatory examination. Broker-dealers (BDs)…