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2 01 9 F I E STA SPAT BIAS EX I BI TOR APPLICANT ION
The City of Santa Ana will be hosting the 41st Annual Fiestas Parties Festival on September 14 and 15, 2019. A completed exhibitor
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What is reg bi requirement for?
Reg BI, or Regulation Best Interest, is a requirement aimed at ensuring that broker-dealers act in the best interest of their clients when recommending securities.
Who is required to file reg bi requirement for?
Broker-dealers and investment advisers are required to comply with the Reg BI requirement.
How to fill out reg bi requirement for?
To comply with Reg BI, firms must establish written policies and procedures that prioritize the best interests of their clients, including disclosures outlining conflicts of interest.
What is the purpose of reg bi requirement for?
The purpose of Reg BI is to enhance the standard of conduct for broker-dealers and ensure that they provide advice that serves the best interests of their clients.
What information must be reported on reg bi requirement for?
Firms must report information related to their policies, practices, conflicts of interest, and specific disclosures provided to clients regarding recommendations.
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