Reg BI Supervisory Review of Client Recommendations Investment Adviser Previous year available at The

Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements

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The Broker-Dealer Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 & Department of Labor’s (DOL’s) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020- 02”)

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Reg BI Supervisory Review of Client Recommendations Investment Adviser Previous year available at TheCompliance 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