Regulation Best Interest (Reg BI) Implementation

SEC Commissioner Hester Peirce has warned broker-dealers
to prepare for a “massive implementation” process for Regulation BI

Or, you could call Oyster Consulting.

Our experienced industry practitioners will:

 

Our consultants are broker-dealer experts.

We will help you assess the steps to comply, organize an efficient and effective
implementation process, and execute the requirements in the least disruptive way for your business.

 

Additional Reg BI Resources

Related Blogs

 

SEC Examinations that Focus on Compliance with Regulation Best Interest – April 23, 2020

SEC Examinations that Focus on Compliance with Form CRS Requirements – April 16, 2020

Reg BI and Form CRS: Compliance Still Expected by June 30, 2020 – April 2, 2020

SIFMA Regulation Best Interest Vendor Forum – Where Are We Now? (161 days to Implementation!) – January 21, 2020

Is Your Compensation Structure Ready for Reg BI? – January 8, 2020

FINRA’s Reg BI Conference: What You Need to Know – December 19, 202

SEC Posts Form CRS FAQs – December 18, 2019

Compliance Procrastinators: With 2020 Compensation Planning Heating Up – Now is the Time to Make Sure Reg BI is Fully Understood – September 17, 2019

SEC Adopts Reg BI – June 6, 2019

 

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