Some key areas for brokers to assess in determining whether they’re subject to the new rules as implementation date approaches.
The June 30, 2020 implementation date of the U.S. Securities and Exchange Commission's...more
What You Need To Know:
-The implementation date for Reg. BI and Form CRS remains June 30, 2020.
-The SEC’s initial compliance review will be focused on “good-faith efforts.” Firms should make good faith efforts to implement...more