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Small Contract/Emergency/Best Interest of the State Selection Form Project Information Project No.: 039150200Selection Type:Small Contract (CPO Signature Not Required) Emergency Services Best Interest
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SEC Regulation Best Interest (Reg BI) requires brokers to act in the best interest of their retail customers when recommending securities transactions or investment strategies.
Broker-dealers and their associated persons are required to comply with SEC Regulation Best Interest.
To fill out SEC Regulation Best Interest, brokers must provide disclosure documents to retail customers, exercise reasonable diligence, and seek to obtain best execution of customer orders.
The purpose of SEC Regulation Best Interest is to enhance the broker-dealer standard of conduct for providing recommendations to retail customers.
SEC Regulation Best Interest requires brokers to provide information about the specific recommendations made to retail customers and the factors considered in making these recommendations.
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