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01-21-20

SEC’s Regulation Best Interest: Perspectives on Firm Compliance

From the moment it was proposed, Regulation Best Interest (“Reg BI”) was a lightning rod for adherents and detractors of all stripes. This two-part article is an overview of the current state of play on the impending SEC Reg BI rule: how we got here, what the rule requires and what firms need to have in place before the final compliance implementation dates.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group