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Financial Broker Stamp Overprotection Data Capture Form This Data Capture Form may be used by your Financial Broker when completing an online application on your behalf. It does not form part of your

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Reg BI and Form are needed by financial institutions and professionals who provide investment advice to clients, as required by the Securities and Exchange Commission (SEC). This includes broker-dealers, investment advisers, and certain representatives of these firms.

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What is reg bi and form?

Regulation Best Interest (Reg BI) is a rule that requires broker-dealers to act in the best interest of their retail customers. Form CRS is a disclosure form that provides information about the services offered, fees, conflicts of interest, and disciplinary history of a firm.

Who is required to file reg bi and form?

Broker-dealers and their associated persons are required to file Reg BI and Form CRS.

How to fill out reg bi and form?

Reg BI and Form CRS can be filled out electronically through the SEC's EDGAR system or through a paper form.

What is the purpose of reg bi and form?

The purpose of Reg BI and Form CRS is to enhance the transparency and accountability of financial professionals when providing investment advice to retail customers.

What information must be reported on reg bi and form?

Reg BI requires disclosure of material facts relating to the relationship between the broker-dealer and the retail customer, while Form CRS requires information about the firm's services, fees, conflicts of interest, and disciplinary history.

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