US SEC Regulation Best Interest (17 CFR 240.15l-1)
What is US SEC Regulation Best Interest (17 CFR 240.15l-1)?
The SEC's best interest standard for broker-dealer recommendations to retail customers: the general obligation and its four components (written disclosure of capacity, costs, services and conflicts; reasonable-basis, customer-specific and quantitative care; conflict identification, disclosure, mitigation and the ban on product-specific sales contests; a compliance program), plus the six-year retail customer record under Rules 17a-3 and 17a-4. It comprises 16 controls organised across 6 domains, and applies in the United States.
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