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Announcement

Examinations that Focus on Compliance with Regulation Best Interest

April 7, 2020

The Office of Compliance Inspections and Examinations is issuing this Risk Alert to provide broker-dealers with information about the scope and content of initial examinations after the compliance date for Regulation Best Interest.

View the Risk Alert: Examinations that Focus on Compliance with Regulation Best Interest

Last Reviewed or Updated: April 7, 2020

Rules & Regulations

Enforcement & Litigation

Compliance

Examinations that Focus on Compliance with Regulation Best Interest

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Examinations that Focus on Compliance with Regulation Best Interest