Compliance with Regulation Best Interest (Regulation BI) and Form CRS is due on June 30, 2020 for all registered broker-dealers and investment advisers. See Introduction to Regulation Best Interest Regulation Best Interest at FINRA Regulation Best Interest (BI) information at the SEC website
Month: June 2020
Removing Customer Complaints and Firm Disputes from BrokerCheck
False CRD Disclosures can ruin your practice, if not your career. Call Sallah Astarita & Cox, LLC today at 212-509-6544 to learn if your complaints and termination disclosures can be permanently removed from your CRD report, and BrokerCheck. We have been helping brokers across the country to remove false reports […]