[co-presenter: Pooja Kohli, Litigation Specialist]
Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and brokerage accounts.
In this Bottom Line videocast, Clifford Kirsch and Pooja Kohli discuss:
• the capacity disclosures a dual registrant must make
• what Form CRS should look like for dual registrants
• what dual registrants See more +
[co-presenter: Pooja Kohli, Litigation Specialist]
Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and brokerage accounts.
In this Bottom Line videocast, Clifford Kirsch and Pooja Kohli discuss:
• the capacity disclosures a dual registrant must make
• what Form CRS should look like for dual registrants
• what dual registrants must consider when making account type recommendations
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