Plan for success amidst the Regulation Best Interest rule
Supporting best interest advice with NaviPlan
On June 5, 2019, the Securities and Exchange Commission (SEC) officially voted in the Regulation Best Interest rule which went into effect June of 2020. The rule aims to strengthen the guidelines previously outlined by the suitability rule and close the regulatory gap between broker-dealers and RIAs. Discover what you need to know about the Regulation Best Interest rule on our blog →
Leveraging a comprehensive financial planning tool such as NaviPlan can put broker-dealers in a better position to justify their recommendations and document compliance efforts. NaviPlan provides broker-dealers with a range of features that can support the delivery of best interest advice including:
To download our full PDF resource on how NaviPlan helps broker-dealers comply with the the SEC's Regulation Best Interest Rule, click here.