Bates News,Compliance and Regulatory Alerts - 11-15-19

Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along

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During the 2019 SIFMA C&L New York Regional Seminar, FINRA announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations.

“Starting this month, “ said Bates Compliance Managing Director Robert Lavigne, “FINRA will be taking steps to check on companies ahead of this rule implementation. Companies should heed their warning and begin working on a plan.”

According to FINRA conference speakers, below is a list of what the regulators are interested in learning when they visit your firm this Q4 and in 2020:

  1. Does your firm need Reg BI guidance?
  2. Are you looking at product offerings, suitability, disclosures and conflicts?
  3. How far along are you in comparison to peer firms?
  4. Can you demonstrate that your company has a thoughtful approach and operational procedures in place?

Ready to get started or not sure where to begin? We're here to help.

Learn How Bates Compliance Can Support Your Reg BI Implementation Efforts


Give Bates Compliance a call today to learn about how our Compliance Solutions and Reg BI Readiness Workshops can support your firm’s SEC Reg BI Implementation efforts.


Robert Lavigne, Managing Director - 508.868.6741 or

David Birnbaum, Managing Director - 917.273.2682 or

Rory O'Connor, Director - 860.671.7270 or


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