FINRA released some needed guidance to help firms comply with the new broker investment advice standards and disclosure requirements of Regulation Best Interest and the new client disclosure document Form CRS.
The checklist is available on the FINRA website:
https://www.finra.org/sites/default/files/2019-10/reg-bi-checklist.pdf .
If you have responsibility for broker-dealer compliance the checklist looks like a great tool.
