The Progression of Regulation Best Interest and Form CRS

SKU: SEC075

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About This Course

During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest.

This session will discuss:

Actions:

  • ­ Recent SEC and FINRA findings in Reg BI and Form CRS

Interpretation, guidance and best practices:

  • ­ Recent SEC and FINRA findings in Reg BI and Form CRS
  • ­ Reg Notice 23-20
  • ­ Form CRS FAQs
  • ­ Reasonably Available Alternatives and documentation
  • ­ Guidance and effective practices for Care Obligation
  • ­ Conflict of Interest obligation (including how this obligation relates to how firms compensate their financial professionals, including via Transition Assistance Payments)

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