US SEC Regulation Best Interest (17 CFR 240.15l-1)
Disclosure obligation (paragraph (a)(2)(i)) – US SEC Regulation Best Interest (17 CFR 240.15l-1)

US SEC Regulation Best Interest (17 CFR 240.15l-1) a2i-B: Disclose all material facts about conflicts of interest tied to the recommendation

What does a2i-B require?

Separately from the relationship facts, the written disclosure must cover the material facts about every conflict of interest associated with the recommendation: compensation arrangements, revenue sharing, principal trading, affiliated products and anything else that might incline the firm or the individual toward a recommendation that is not disinterested. The disclosure is the baseline response to a conflict; mitigation or elimination may also be required under the conflict obligation.

Maintained by Gerard Blokdyk

Other controls in Disclosure obligation (paragraph (a)(2)(i)) – US SEC Regulation Best Interest (17 CFR 240.15l-1)

Query this from an agent

The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.