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.

REG BI TAKES EFFECT IN
127 days : 15 hours : 42 minutes : 55 seconds

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

 

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

 

The financial services industry is rapidly changing.  Click here or call (804) 965-5400 to find out our current opinion on industry news.

FEATURED CONSULTANT

Clark Tucker,Director

Clark is a senior financial and operations executive with more than 25 years of banking and securities industry experience.

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