June 30th marks the second anniversary of the implementation of Regulation Best Interest and Form CRS and we are celebrating with a deep dive into everything FINRA has learned on the topic over the last two years. 

On this episode, Meredith Cordisco, associate general counsel with the Office of General Counsel, Scott Gilbert, vice president covering the large diversified firm group and alternative net capital group within Member Supervision, and Nicole McCafferty, senior director with the National Cause and Financial Crimes Detection Program, join us to talk about how FINRA is examining around the new regulations and explore some of the common problem areas and effective practices when it comes to complying with all that is now required.

How are we doing? Take the FINRA Unscripted survey today. 

Resources mentioned in this episode:

SEC Reg BI Resource Page

FINRA Reg BI Resource Page

Episode 63: Implementing a New Standard of Care

Episode 45: Preparing for a New Standard of Care

Episode 69: Excessive Trading: When A Lot Becomes Too Much

2022 Report on FINRA’s Exam and Risk Monitoring Program: Reg BI and Form CRS

March 2022 SEC Staff Bulletin

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