15 min listen
Regulation Best Interest: Preparing for a New Standard of Conduct
FromFINRA Unscripted
ratings:
Length:
23 minutes
Released:
Oct 15, 2019
Format:
Podcast episode
Description
Next year, brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of the U.S. Securities and Exchange Commission’s new Regulation Best Interest. If you haven’t yet had time to comb through the 1,363 page rule package, on this episode we have FINRA’s Chief Legal Officer Bob Colby walk us through the rule and steps FINRA member firms will need to take to prepare for its implementation. Resources mentioned in this episode:SEC Small Entity Compliance GuideFINRA Reg BI Resource PageReg BI and Form CRS ChecklistRegulation Best Interest Conference
Released:
Oct 15, 2019
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted