REG BEST INTEREST

Please see below for helpful resources regarding Reg BI. If you have any questions, please reach out to CFGPrincipal@financialguide.com.

GENERAL

Reg BI Best Practices

Reg Best Interest Client File Documentation

Sales Process with Reg BI Requirements (CFG)

Sales Process with Reg BI Requirements (MassMutual)

New Business and Subsequent Transaction Walkthrough

Reg BI Brokerage Shell Account FAQ

Reg BI Brokerage Shell Account FAQ Training Video

RIGHTBRIDGE

Rightbridge Fact Finder

Rightbridge Guide - When You Need One and What to Disclose

Rightbridge Report - NQ Investment Account Example

Rightbridge Report - IRA Rollover Example

DISCLOSURES

(DELIVERED NO LATER THAN THE RECOMMENDATION OF A PRODUCT)

Form CRS for Retail Investors

Reg BI Disclosure

Reg BI Disclosure Supplement (S7)

Reg BI Disclosure Supplement (S6)

Reg BI Disclosure Supplement (S6 CRIA)

Reg BI Capacity Disclosure Supplement (S6 & S62)

Reg BI Disclosure Supplement (S6 & S62 CRIA)

ADDITIONAL DOCUMENTS

Transaction Detail Form

CRIA Asset Transition Form

TDF Walkthrough for Rollovers and Replacements

CAT Walkthrough

CAT Recommendations and Common Errors