Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest

Today, the Division of Examinations published a Risk Alert to highlight deficiencies noted during examinations conducted, as well as examples of weak practices that could result in deficiencies. It is intended to assist broker-dealers in reviewing and enhancing their compliance programs related to Regulation Best Interest.

View the Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest