On October 8, 2019, the Financial Industry Regulatory Authority (FINRA) published a new resource to assist its member firms in their efforts to comply with the US Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg. BI) and Form CRS by the June 30, 2020 compliance date. FINRA’s Reg. BI and Form CRS Firm Checklist (the “Checklist”) provides a Q&A outlining the major requirements of the recent rulemaking package and explains some key differences between FINRA rules and the SEC’s Reg. BI and Form CRS to help member firms assess their obligations under each.
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