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DIRECT NEW ACCOUNT FORM Within this Packet Form CRS Direct Account Form Predispose Agreement Regulation Best Interest Disclosure Supplement Customer Account Disclosure Addendum & Privacy Policyholder
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How to fill out regulation best interest disclosure
How to fill out regulation best interest disclosure
01
Include the name, address, and phone number of the financial professional or firm providing the disclosure.
02
Clearly explain the services offered and the types of products that may be recommended.
03
Disclose any potential conflicts of interest that may exist, including compensation structures.
04
Explain the standard of conduct the financial professional is held to when providing recommendations.
05
Provide a summary of the Regulation Best Interest requirements and how they are being met.
Who needs regulation best interest disclosure?
01
Financial professionals and firms who provide recommendations to retail customers.
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What is regulation best interest disclosure?
Regulation Best Interest (Reg BI) Disclosures are a set of rules established by the SEC that requires brokers-dealers to act in the best interest of their customers when recommending investment products.
Who is required to file regulation best interest disclosure?
Brokers-dealers and associated persons are required to file regulation best interest disclosure.
How to fill out regulation best interest disclosure?
Regulation best interest disclosure can be filled out by providing accurate and complete information about the products being recommended, potential conflicts of interest, and how the recommendations are in the best interest of the customer.
What is the purpose of regulation best interest disclosure?
The purpose of regulation best interest disclosure is to ensure that brokers-dealers act in the best interest of their customers and provide them with suitable recommendations for investment products.
What information must be reported on regulation best interest disclosure?
The information that must be reported on regulation best interest disclosure includes details about the recommended products, potential conflicts of interest, and how the recommendations are in the best interest of the customer.
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