Observations from Broker-Dealer Examinations Related to Regulation Best Interest

Today the Division of Examinations published a Risk Alert to highlight observations from examinations related to Regulation Best Interest. The Risk Alert is intended to assist broker-dealers in reviewing and enhancing their compliance programs related to Regulation Best Interest. The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in the Risk Alert.  

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