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Reg Bi Policy

Draft Board-Ready Reg BI Policies in Minutes

12 minutes with CaseMark

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Reg Bi Policy

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Workflow

Reg Bi Policy

Overview

CaseMark's Reg BI Policy skill automatically drafts comprehensive, board-ready Suitability and Best Interest policies for broker-dealers. Covering FINRA Rule 2111, all four SEC Reg BI component obligations, Form CRS integration, supervision, and recordkeeping, it transforms hours of manual policy drafting into a streamlined AI-powered workflow.

Drafting Reg BI and suitability compliance policies is a painstaking process that requires deep knowledge of overlapping FINRA and SEC requirements. Compliance teams spend days manually assembling policy language, cross-referencing regulatory texts, and ensuring no obligation is overlooked—all while trying to tailor the policy to their firm's specific business model and product offerings.

CaseMark's AI analyzes your firm's details, existing compliance materials, product inventory, and compensation arrangements to generate a comprehensive, board-ready policy in minutes. Every section—from the suitability framework to the four Reg BI obligations to supervision and recordkeeping—is tailored to your firm and formatted for immediate review and approval.

How it works

  1. 1. Upload your firm details, existing compliance materials, product inventory, and compensation arrangements

  2. 2. AI analyzes your documents against FINRA Rule 2111 and SEC Reg BI requirements

  3. 3. Review and customize the generated board-ready policy with hierarchical section numbering

  4. 4. Export the finalized policy in your preferred format (DOCX, PDF)

What you get

  • Policy Statement & Definitions

  • FINRA Rule 2111 Suitability Framework

  • Reg BI Four-Obligation Framework

  • Form CRS Integration & Delivery Protocols

  • Supervision & Escalation Procedures

  • Recordkeeping & Review Requirements

What it handles

  • Comprehensive FINRA Rule 2111 suitability framework covering reasonable-basis, customer-specific, and quantitative components

  • Full Reg BI four-obligation framework: Disclosure, Care, Conflict of Interest, and Compliance

  • Form CRS integration and delivery protocols

  • Supervision and escalation procedures with defined review thresholds

  • Recordkeeping requirements aligned with SEC and FINRA mandates

  • Board-ready formatting with hierarchical section numbering and definitions

Required documents

  • Firm Details & Organizational Information

    Business model description, product offerings overview, organizational chart, and firm background

    .pdf, .docx

  • Existing Compliance Materials

    Current compliance policies, supervisory procedures manuals, and any existing suitability or Reg BI documentation

    .pdf, .docx

  • Product & Compensation Documentation

    Product inventory, compensation structures, revenue-sharing arrangements, and third-party payment details

    .pdf, .docx, .xlsx

Supporting documents

  • Form CRS

    Current Form CRS filing for integration into the policy's disclosure and delivery protocols

    .pdf, .docx

  • Regulatory Examination Findings

    Recent FINRA or SEC examination letters or findings related to suitability or Reg BI compliance

    .pdf, .docx

  • Training Materials

    Existing Reg BI or suitability training materials for associated persons

    .pdf, .docx, .pptx

Why teams use it

Reduce policy drafting time from days to minutes while maintaining regulatory precision

Ensure comprehensive coverage of all Reg BI obligations and FINRA suitability requirements in a single document

Generate consistently structured, board-ready policies with professional formatting and hierarchical numbering

Easily update and regenerate policies as regulations evolve or firm operations change

Questions

What regulatory frameworks does this policy cover?

CaseMark's Reg BI Policy skill drafts policies covering both FINRA Rule 2111 (suitability) and SEC Regulation Best Interest (17 CFR 240.15l-1), including all four Reg BI component obligations: Disclosure, Care, Conflict of Interest, and Compliance. It also addresses Form CRS integration requirements.

Is the output ready for board approval?

Yes. CaseMark generates a formally structured policy with hierarchical section numbering, a comprehensive definitions section, and professional formatting suitable for board presentation and approval. You should still have your compliance team and legal counsel review the final document.

Can this handle different broker-dealer business models?

Absolutely. CaseMark tailors the policy to your specific firm details, including your business model, product offerings, compensation structures, and organizational chart. Whether you're a full-service broker-dealer or a specialized firm, the output reflects your unique operations.

How does CaseMark address conflicts of interest under Reg BI?

CaseMark's AI drafts a detailed Conflict of Interest obligation section that identifies, discloses, and mitigates material conflicts arising from compensation arrangements, revenue-sharing, proprietary products, and third-party payments—all aligned with SEC Reg BI requirements.

Does the policy include supervision and recordkeeping procedures?

Yes. CaseMark generates comprehensive supervisory procedures with defined review thresholds, escalation protocols, and recordkeeping requirements that satisfy both FINRA and SEC expectations for ongoing compliance monitoring.

How often should I regenerate or update this policy?

CaseMark makes it easy to update your policy whenever regulations change, your firm's business model evolves, or during your regular compliance review cycle. We recommend reviewing at least annually or whenever there are material changes to your product offerings or compensation structures.

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