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FINRA to Adopt SEC’s Approach to Reg BI, Form CRS Exams

FINRA said yesterday that broker-dealers can expect the agency to take the same approach to Reg BI and Form CRS compliance exams as the SEC. So reports Think Advisor.

seo 1970475 640smallFINRA also said it won’t ignore suitability violations. The agency said its exams will “focus primarily on assessing whether firms have made a good faith effort to establish and implement policies and procedures reasonably designed to comply with Reg BI and Form CRS.”

Read the full article from Think Advisor.

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