Search Results: SEC

U.S. Broker-Dealers and Investment Advisers: Prepare for Fast-Approaching Regulation Best Interest and Form CRS Deadline

The compliance date of June 30, 2020, is looming for U.S. broker-dealers subject to Regulation Best Interest (Reg. BI)[1] and broker-dealers and investment advisers required to prepare and provide relationship summaries pursuant to Form CRS and related rules.[2] Staff of the U.S. Securities and Exchange Commission (SEC) have provided answers…

Read More