Regulation BI- Best Interest

OMB 3235-0762

OMB 3235-0762

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.

OMB Details

Dually-registered BDs (Disclosure of Capacity)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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