Regulation Best Interest

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...

After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest

Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities

We believe that the June 30, 2020 compliance date for Reg BI and other requirements, including the requirement to file and begin delivering Form CRS, ...

Has your CCO changed in the last year?

Eight new FAQs cover six core areas

Adjusting or building upon current systems of supervision/compliance an option

These SEC FAQs can help you prepare for Reg BI

Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”

Driscoll: The risk alert will be designed to “help firms prepare for potential exams”