Carty & Company, Inc.
Regulation Best Interest
Regulation Best Interest (BI) is a 2019 Securities and Exchange Commission (SEC) rule that requires broker-dealers to only recommend financial products to their customers that are in their customers’ best interests, and to clearly identify any potential conflicts of interest and financial incentives the broker-dealer may have for the sale of those products.View All
Client Relationship Summary
As of June 30, registered broker-dealers and registered investment advisers are required to provide a new customer or client relationship summary (also called Form CRS) to retail investors.View All