Best Interest Standard of Care for Advisors #22
Regulation Best Interest: FINRA Examination Priorities—2020 Examinations for Compliance The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Rule, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of articles entitled “Best Interest Standard of Care for Advisors.” Among the priorities in FINRA’s 2020 Risk Monitoring […]