Lauren Schwartz

Lauren Schwartz

Lowenstein Sandler LLP

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SEC and FINRA Provide Reg. BI and Form CRS Guidance as the Implementation Date Approaches

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

4/21/2020  /  Broker-Dealer , Conflicts of Interest , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Form CRS , Good Faith , Regulation Best Interest , Securities and Exchange Commission (SEC)
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