Reg BI Supervisory Review of Client Recommendations Investment Adviser Total Page Count/Format: 14/

Total Page Count/Format: 14/

The Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and Rule 204A-1 and/or similar state requirements

Total Page Count: 63

Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements

Reg BI Supervisory Review of Client Recommendations Investment Adviser Total Page Count/Format: 14/Compliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Supervisory Review of Client Recommendations form serves as a tool to document supervisory reviews related to Reg BI recommendations. The form documents if the representative exercised reasonable diligence, care, and skill when making the recommendation by guiding the reviewer through questions to evaluate the recommendation and review complex