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FINRA has identified several items in the SEC’s Regulation Best Interest (Reg BI) that it will examine for in the first half of 2020 as firms prepare for Reg BI compliance.
In this Bottom Line videocast, Susan Krawczyk and Holly Smith discuss:
- FINRA’s 2020 Priorities Letter
- the nine items FINRA has targeted for Reg BI preparedness
- the emphasis on recommendation-related factors in preparing for Reg BI