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Northland Securities, IncNorthland Securities Northland Securities, Inc

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  • Northland Securities
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      • Senior Living Finance Team
      • Senior Living Finance Deals
    • Info You Need to Know
    • Competitive Sales Calendar
  • Fixed Income
    • Institutional Sales
      • Sales Team
      • Bond Information
      • Customers We Serve
    • Trading
      • Trading Team
      • Underwritings
    • Portfolio Services
      • Portfolio Services Team
      • Asset / Liability Management
      • Bond Analytics & Strategies
      • Municipal Bond Credit Support
      • Portfolio Accounting
  • Equity Capital Markets
    • ECM News & Announcements
      • ECM News Archive
    • Investment Banking
      • Investment Banking Team
    • Institutional Research
      • Research Analyst Team
    • Institutional Sales & Trading
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    • Corporate Access
  • Wealth Management
    • Wealth Management Team
    • Customized Plan & Objectives
    • Client-Directed Investing
    • Retirement & Estate Planning
    • Portfolio Management Solutions
    • Fixed Income Solutions
    • Financial Services
      • Annuities
      • Life & Long-Term Care Insurance
      • Mutual Funds / UITs
      • Alternative Investments
      • DELAWARE STATUTORY TRUSTS (DSTs) / 1031 Exchanges
        • DSTs / 1031 Exchange Basics
        • DSTs / 1031 Exchange Language
        • Tax-Efficient Investing
    • Pershing LLC
    • Careers in Wealth Management
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Client Information on SEC’s Regulation Best Interest

June 30, 2020

SEC Regulation BI Information and Disclosures

The Securities and Exchange Commission (“SEC”) has adopted Regulation BI (“RegBI”), a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a “best interest” standard of conduct for broker-dealers and Registered Investment Advisors (“RIAs”) and associated persons when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.  The standard of conduct is to act in the best interest of the retail customer at the time a recommendation is made, without placing the financial or other interest of the broker-dealer, RIA, or associated person making the recommendation ahead of the interest of the retail customer.  The SEC concurrently adopted a rule requiring each broker-dealer and RIA to provide its retail clients and file with the SEC a “Client Relationship Summary” (“Form CRS”) providing information about that broker-dealer or RIA and the way it conducts business.

The RegBI Form CRS compliance and implementation date is June 30, 2020.

Ask a Northland Financial Representative for more information on RegBI.

INVESTOR INFORMATION – What You Need to Know –

  • Investor.gov Online Resource Site – SEC’s Office of Investor Education and Advocacy (OIEA)
  • FINRA Key Topic – SEC Regulation Best Interest
  • SEC Regulation Best Interest, Form CRS, and Related Interpretations

NORTHLAND DOCUMENTS

  • Northland Form CRS Broker-Dealer ONLY (7-31-2021)
  • Northland Form CRS Broker-Dealer & RIA DUAL (7-31-2021)
  • Northland RegBI Disclosure Document (6-30-2020)
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