Market Trends 2021/22: Regulation Best Interest

Regulation Best Interest contains a set of rules that broker-dealers must follow with respect to their retail customers. These rules contain obligations relating to disclosure, their duty of care, conflicts of interest, and compliance. Read this practice note for more information on, and recent trends relating to, these rules and their enforcement.

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Related Content

• Prohibited Trading Practices Regulation (Broker-Dealer) Checklist
  Keep an eye on what trading practices the rules prohibit and allow for broker-dealers.

• Broker-Dealer Recordkeeping Checklist
  Use this checklist to be mindful of everything a broker-dealer needs to keep track of.

• Broker-Dealer Federal Regulation Compliance
  Review everything from recordkeeping and reporting to anti-money laundering compliance.

• Broker-Dealer Anti-Money Laundering Compliance Programs: Implementing an Effective Program
  Help broker-dealers comply with anti-money laundering statutes and regulations and implement best practices.

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