W. Preston Battle IV

W. Preston Battle IV

Baker Donelson

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SEC Signals How Examinations Will Focus on Compliance with Reg BI and Form CRS

The countdown to June 30, 2020 is on – the deadline by which broker-dealers with retail customers must comply with Regulation Best Interest (Reg BI), and broker-dealers and investment advisers must comply with Customer...more

4/13/2020  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , OCIE , Policies and Procedures , Securities and Exchange Commission (SEC)
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