Regulation Best Interest and Form CRS: Recent Observations and What to Expect


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About This Course

Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules.

Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives.

After attending this session, you will be able to:

  • Discuss the challenges have firms faced reconciling Form CRS with Reg BI delivery
  • Hear about effective practices for supervision under Reg BI and Form CRS
  • Share examination experiences and expectations

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