The Commission adopted a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.
The latest form for Regulation BI- Best Interest expires 2022-10-31 and can be found here.
Supporting Statement B
Supporting Statement A
Approved with change
|New collection (Request for a new OMB Control Number)||2019-08-09|
Comment filed on proposed rule
|New collection (Request for a new OMB Control Number)||2018-06-15|
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight