Observations From Broker-Dealer Examinations Related to Regulation Best Interest

The Division of Examinations is publishing this Risk Alert to highlight deficiencies noted during examinations conducted, as well as examples of weak practices that could result in deficiencies. It is intended to assist broker-dealers in reviewing and enhancing their compliance programs related to Regulation Best Interest.

View the Risk Alert: Observations From Broker-Dealer Examinations Related to Regulation Best Interest