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PODCAST

Regulation Best Interest: Preparing for a New Standard of Conduct

October 15, 2019

Next year, brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of the U.S. Securities and Exchange Commission’s new Regulation Best Interest.

If you haven’t yet had time to comb through the 1,363 page rule package, on this episode we have FINRA’s Chief Legal Officer Bob Colby walk us through the rule and steps FINRA member firms will need to take to prepare for its implementation.

Resources mentioned in this episode:

SEC Small Entity Compliance Guide

FINRA Reg BI Resource Page

Reg BI and Form CRS Checklist

Regulation Best Interest Conference

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