Eversheds Sutherland Legal Insights (audio)

The SEC’s new Regulation Best Interest imposes additional recordkeeping requirements on broker-dealers.  These additional recordkeeping requirements will need to capture all information collected from and provided to retail customers in connection with Regulation Best Interest, and broker-dealers may need to build new or modify existing recordkeeping systems to capture all the required information.In this Bottom Line videocast, Eric Arnold and Ben Marzouk discuss: the SEC’s new Regulation Best Interest recordkeeping requirements and related retention periods how firms can leverage their existing records to satisfy the new requirements what new records firms will need to capture in order to comply with Regulation Best Interest Discover more of the latest legal news and topics discussed by our attorneys by subscribing to the Eversheds Sutherland Legal Insights Podcast Channel.