Reg BI Supervisory Review of Client Recommendations Investment Adviser as well as provide information

as well as provide information on market holidays and events that may affect investment adviser business operations

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

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The Broker-Dealer Written Supervisory Procedures Section on Impartial Conduct Standards serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 & Department of Labor’s (DOL’s) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020- 02”)

Reg BI Supervisory Review of Client Recommendations Investment Adviser as well as provide informationCompliance 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