Regulation Best Interest (Reg BI) and Form CRS

While creating policies and procedures and drafting a two or four page disclosure document seems easy, the underlying navigation of identifying conflicts of interest, mitigating and disclosing those conflicts, disclosing fees and costs of services and investments, as well as disciplinary history can become daunting – particularly when this disclosure is submitted to the SEC and policies and procedures are reviewed by regulators.

NRS has a full suite of services to help you start off in compliance and stay confident in your compliance including:

  • On-Demand training and in-person conferences for Regulation Best Interest and Form CRS
  • Form CRS Technology and Consulting Solutions
  • Regulation Best Interest Targeted Compliance Reviews
  • Solely Incidental Interpretive Release Focused Review
  • BI Disclosure Technology Solutions (Rep-specific information)
  • Policy and Procedure content and updates

Talk to us about Reg BI and Form CRS Solutions

SEC: No Extension for Reg BI, Form CRS Compliance

The SEC will not extend the compliance date for Reg BI and the filing date for Form CRS beyond June 30, 2020 despite the COVID-19 pandemic. Read our blog on how this will impact you and your firm.

Read our NRS Insights Blog

What the SEC Releases Require you do Ahead of Reg BI

Access our recording from July, where we explain how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register and will require changes in your compliance program.

View the webinar recording

SEC Adopted Reg BI on June 5! What Does this Mean for Your Firm?

Read our blog post which outlines what the SEC adopted and what your firm needs to address in order to build and maintain compliance confidence in 2020.

Read our blog

Whitepaper - Reg BI Exams are Coming

Download our Reg BI whitepaper to fully understand what you need to do to ensure that you stay in compliance and are able to face a regulatory examination with confidence.

Download our whitepaper