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FINRA offered new resources to member firms in preparation for compliance with Regulation Best Interest ("Reg. BI") and Form CRS (see previous coverage) by the deadline of June 30, 2020.
To help ensure that firms are able to comply with Reg. BI and
Form CRS by the compliance date, FINRA is offering a Reg. BI and
Form CRS checklist to help implement necessary procedures and
policies. Additionally, FINRA will hold a Reg. BI conference and
several Reg. BI discussions at other FINRA events.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
