White Paper

An In-depth look at the SEC’s Regulation Best Interest

The white paper contains a detailed look into the Securities and Exchange Commission (SEC) adopted Regulation BI, which requires that broker-dealers act in the "best interest" of their "retail customers." The white paper outlines the requirements of the rule, and explanations on what broker-dealers must do to comply. The SEC concurrently adopted a rule requiring each broker-dealer and investment adviser to send its retail clients and file with the SEC a "Client Relationship Summary" providing information about that broker-dealer or adviser.

"The white paper summarizes the dramatic changes and new challenges broker-dealers face as a result of Reg BI"

Dave Ackerman,
Regulatory Compliance Expert, NICE

Download your complimentary copy of the white paper and get full access to the Resource Center, packed with informative white papers, analyst reports, eBooks, brochures, and on-demand webinars.