The June 30, 2020 compliance date for Regulation Best Interest (“Reg BI”) and Form CRS is fast approaching. Both the SEC and FINRA have stated they will conduct examinations after the compliance date that will focus on whether a Firm has made a “good faith” effort to comply with these regulations.
Is your firm ready?
We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS.
If you have any questions about the survey, or about compliance with Reg BI or Form CRS, please contact Dee Stafford.
ACA’s Broker-Dealer practice assists our clients with navigating the SEC’s Regulation Best Interest (Reg BI) through educational resources and alerts, program reviews, assistance designing and implementing a customized action plan to meet Reg BI’s requirements, and more. Visit our Reg BI Resources page to find out how ACA can help you comply by June 30, 2020.