OMB control number
Regulation BI- Best Interest
OMB 3235-0762 ยท SEC.
OMB 3235-0762
Regulation BI established a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.
The latest form for Regulation BI- Best Interest expires 2026-06-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supplementary Document |
Supporting Statement B |
Supporting Statement A |
3235-0762.pdf
IC18 - Compliance Obligation Written Policies and Procedures (Large BDs) All Historical Document Collections
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Approved without change |
Extension without change of a currently approved collection | 2023-04-22 | |
|
Approved without change |
Reinstatement without change of a previously approved collection | 2022-11-15 | |
|
Approved with change |
New collection (Request for a new OMB Control Number) | 2019-08-09 | |
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2018-06-15 |
OMB Details
IC1 - Dually-registered BDs (Disclosure of Capacity)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight