"After Regulation Best Interest's June 30, 2020 compliance date, the Division of Examinations (formerly the 'Office of Compliance Inspections and Examinations') launched examinations to assess the ... implementation efforts of broker-dealers.... [N]ow that approximately six months have passed since the Regulation Best Interest compliance date, the Division intends to begin its next phase by conducting more focused examinations ... beginning in January 2021. As part of this effort, Division staff will examine whether broker-dealers have written policies and procedures and systems in place to achieve compliance with the Regulation."  MORE >>