• CCG

FINRA Provides Reg BI Preparedness Review Report




As part of FINRA’s continuing efforts to assist members with the implementation of Reg BI and Form CRS, FINRA has published a new report highlighting common practices FINRA observed during reviews that began in late 2019 and through ongoing conversations with firms of all sizes about their preparedness initiatives. The report is meant to help FINRA member firms assess their efforts against their peers.

CCG is proudly supporting the following organizations:

Chamber Logo Color.png
Member_Logo.jpg
CEO-tall.gif