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FAQS on Regulation Best Interest

An infographic providing FAQs on Regulation Best Interest. It covers general information on Form CRS, whether retail customers can waive the protections, account recommendations covered under Reg BI, and when the Client Relationship Summary (CRS) is insufficient to satisfy disclosure obligations for broker-dealers and associated persons.
An informational graphic explaining key obligations under Regulation Best Interest (Reg BI) for financial firms and professionals.

Author Bio

Leila Shaver is the Founder of My RIA Lawyer, a law firm that provides compliance and legal consulting for financial institutions. With extensive experience as a securities attorney and compliance expert, she has served as Chief Compliance Officer and General Counsel to RIAs, BDs, and TAMPs with billions in assets under management.

Leila understands the challenges RIAs face and is committed to helping RIAs streamline their processes, mitigate risks, and ensure compliance with regulatory requirements. She received her Juris Doctor from Atlanta’s John Marshall Law School and is a West Georgia Young Lawyers’ Association member. Leila has received numerous accolades for her work, including the Carroll County Bar Association’s Outstanding Young Lawyer Award in 2017.

LinkedIn | State Bar Association | Avvo | Google

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