Hotline Support

New Reg BI White Paper from Bates Research and Bates Compliance

With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?
September 9, 2019

Understand what Reg BI requires now — and what more you must implement before the final deadline. Read our new white paper: “SEC’s Regulation Best Interest Perspectives on Firm Compliance.”

Download Reg BI White Paper