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FINRA Reg BI

    The Era of Best Interest Standards for Financial Professionals
    Business DevelopmentProduct R + D

    The Era of Best Interest Standards for Financial Professionals

    written by FIG Marketing

    Updated on April 8, 2022, at 3:39 PM

    We’ve experienced a lot of new things in the past year plus, haven’t we? The “new normal” is a phrase we’ve grown accustomed to in our lives. We typically hear this phrase when one is speaking about COVID-19 or COVID-related requirements. However, there’s a new normal emerging in the financial industry that we must get used to seeing. That new normal is an era of best interest regulations.

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    The Era of Best Interest Standards for Financial Professionals was last modified: April 8th, 2022 by FIG Marketing
    June 28, 2021
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  • Business Development

    Answers to Your Reg BI Questions [Infographic]

    by FIG Marketing July 31, 2020

    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…

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  • Business Development

    FINRA Reg BI Checklist: 20 Compliance Requirements [Infographic]

    by FIG Marketing July 23, 2020

    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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