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.
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