Reg BI and New Product Best Practices: What BDs Should Know
May 27, 2026 by Melanie Waddell
Six years into Regulation Best Interest, “products have changed, firms have evolved,” Ted Luecke, examination director at the Financial Industry Regulatory Authority, said at FINRA’s recent annual conference in Washington. “Are your disclosures staying up to date with your new products?”
Bringing on new products can mean changing the customer relationship summary known as Form CRS, fee documents or other regulatory disclosures, Luecke told attendees.
Originally Posted at Think Advisor on May 21, 2026 by Melanie Waddell.
Categories: Industry Articles
