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SEC Publishes Risk Alerts Regarding Regulation Best Interest and Form CRS




The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued two risk alerts: Examinations that Focus on Compliance with Regulation Best Interest and Form CRS. Regulation Best Interest and Form CRS are key components of a broader package of rules and interpretations, adopted contemporaneously on June 5, 2019, to enhance the quality and transparency of retail investors’ relationships with broker-dealers and investment advisers.  The compliance date for Regulation Best Interest and Form CRS is June 30, 2020.

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