BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

The Regulation Best Interest (Reg BI) & Form CRS Process Flow Chart serves as a quick guide for helping broker-dealers understand and stay on track with their four main obligations and additional requirements under Reg. BI.  As FINRA regulatory exams now focus on Reg BI processes, the Process Flow Chart addresses certain regulatory focal points often highlighted during the FINRA broker-dealer examination process.  Members also viewed Form CRS Relationship Summary Template for Dual Registrants, Form CRS Relationship Summary Template for Investment Advisers and FINRA Reg BI and Form CRS Firm Checklist.

Version/Update: V.3/November 12, 2021

Total Page Count/Format: 2/.pdf

Source/Author(s): Connexien