...compliance solutions made simple.

561-600-0565

SEC Adopts New Rules and Interpretations Impacting RIAs and BDs

by | Aug 22, 2019 | Client Relationship Summary, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance

On June 5, 2019, the SEC voted to adopt the Form CRS Relationship Summary and Regulation Best Interest, also known as Reg BI. On the same day, the Commission issued two interpretations of the Investment Advisers Act of 1940. In its press release, the SEC stated that...