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The Form CRS Relationship Summary Template for Broker-Dealers is part of SEC’s Regulation Best Interest (Reg BI) due June 30
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Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements
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Reg BI Supervisory Review of Client Recommendations Investment Adviser Total Page Count/Format: 4/Compliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Supervisory Review of Client Recommendations form serves as a tool to document supervisory reviews related to Reg BI recommendations. The form documents if the representative exercised reasonable diligence, care, and skill when making the recommendation by guiding the reviewer through questions to evaluate the recommendation and review complex
