Regulation Best Interest
Regulation Best Interest (Reg BI) is an SEC rule which provides guidelines on the responsibilities of broker-dealers to act in the best interests of their clients. The Rule establishes a “best interest” standard of conduct for broker-dealers and their associated persons for making recommendations to retail customers regarding securities transactions or investment strategies, including recommendations of types of accounts.
More information on the regulation, and related policies and disclosures, is provided through the links below:
Huntleigh Securities Corporation
- HSC Form CRS (Customer Relationship Summary)
- Regulation Best Interest Comprehensive Disclosure
- Margin Disclosure & Statement of Interest Charges
- Cash Sweep Program Disclosure Statement
- Mutual Fund Breakpoint & Share Class Disclosure
- Investment Objective Definitions
- FINRA Account Transfer Disclosure
- Fee Schedule – HSC
K.W. Chambers & Co.
- KWC Form CRS (Customer Relationship Summary)
- Regulation Best Interest Comprehensive Disclosure
- Margin Disclosure & Statement of Interest Charges
- Cash Sweep Program Disclosure Statement
- Mutual Fund Breakpoint & Share Class Disclosure
- Investment Objective Definitions
- FINRA Account Transfer Disclosure
- Fee Schedule – KWC
Huntleigh Advisors, Inc.
- HAI Form CRS (Customer Relationship Summary)
- Form ADV Part 2A – Firm Brochure Huntleigh Advisors Inc.
- Form ADV Part 2A – HAI Mindshare Small Companies Advisory Service
Datatex Investment Services, Inc.
- Datatex Form CRS (Customer Relationship Summary)
- Form ADV Part 2A – Firm Brochure Datatex Investment Services Inc.
General Information
