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Welcome to Association Financial Services, LLC — Your Path To A Brighter Future

Friday, July 4th of 2025

(800) 943-8804

info@association-financial.com

PNC Center

Suite # 2020, Troy, MI 48084

Mon – Fri, 9am to 5pm

Sat - By Appointment Only
Association Financial Services, LLC
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Association Financial Services, LLC
  • Home
  • About Us
  • Services
    • Education Planning
    • Insurance Planning
    • Investment Planning
    • Personalized Planning
    • Public Notary Services
    • Retirement Planning
    • Social Security Planning
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  • Investments
    • Annuities
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      • How Stocks Trade
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What Regulation Best Interest (BI) means to you

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Administration Department July 20, 2020 No Comments

The Securities and Exchange Commission (SEC) has introduced a new set of rules called Regulation Best Interest (Reg BI), designed to ensure that those who buy and sell securities on behalf of clients do so in their clients’ best interest. So what else does Regulation BI include?

In a nutshell, the new regulations require brokers to:

  1. Disclose information: The rational for recommending a particular investment, along with information on any related fees, must be disclosed to a client either prior to, or at the time of, the recommendation.
  2. Exercise due diligence: Care must be taken to ensure that investment recommendations are always in the best interest of a client and that brokers never place their own interests ahead of those of their clients.
  3. Avoid conflicts of interest: Policies must be created to prevent any conflicts of interest so as to ensure that brokers are always providing the best possible recommendations for their clients.

We are your fiduciary

While the new regulations will, therefore, have no impact on my strategic, personalized approach to investing, they have created some new forms aimed at harmonizing the client experience across all firms.

As your financial advocate, I take great pride in always having gone above and beyond these regulations to help you achieve your financial goals. By working closely with you and providing you with all of the information you need to make sound investment decisions, I’m dedicated to helping you build a financial portfolio that’s best suited to your personal needs, goals, and investment horizon.

While the new regulations will, therefore, have no impact on my strategic, personalized approach to investing, they have created some new forms aimed at harmonizing the client experience across all firms. One of these new documents that you can expect to receive is the client relationship summary (Form CRS).

Form CRS

Form CRS is to be sent out to all new and existing clients to provide an easy way to understand the services we offer and to compare what’s offered by different companies across the industry. The form also includes information on whether a firm is a broker-dealer, Investment Adviser, or a dual registrant (registered as both).


Next Step

I invite you to book a meeting for a portfolio review so that we can work together to ensure your investments continue to align with your financial goals. As always, my goal is exactly the same as that of the new measures – to put your interests above all others.

A full description of the new Regulation Best Interest guidelines is also available on the U.S. Securities and Exchange Commission website.


Bottom line is this: As a Registered Investment Adviser Firm and fiduciary, we have always and will continue to place clients’ needs ahead of our own.

—

Posted from Admin at Association Financial Services, LLC

Disclaimer
This is a Financial and Insurance Services Website. The views and opinions of Association Financial Services, LLC, and Association Financial, LLC, do not reflect the opinion(s) of any organization we may be affiliated with, nor are we making official statements on behalf of any company. Information contained in our post(s) is considered true and accurate to the best of our knowledge at the time of posting and as with any written article, there may be omissions, errors, or mistakes. Kindly notify us should you discover any so that they may be corrected immediately. The content provided is for informational purposes only and should not be considered advice, such as financial, legal, tax, or any other type of advice. Tax and accounting services are not provided by Association Financial Services and its advisers, although we may refer these services to licensed professionals in their respective industry. Any information relied upon in our post(s) is used at your own risk. Therefore, we are not liable for any adverse consequences. We are not a professional in the topic or view discussed, unless otherwise stated, and you should always consult with a professional prior to taking any sort of action. We reserve the right to change or modify the content of our post(s) at any time, including the focus and/or content, and how it may be managed.
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    Insurance products offered through Association Financial, LLC, an affiliated company conducting business in 6 states. Advisory services provided by Association Financial Services, LLC, A Registered Investment Adviser Firm, conducting business in 16 states either through registration or an exemption. Association Financial Services, LLC, and its Financial Representatives, may only transact business in a particular state where it is appropriately registered or exempt from registration. Tax and accounting services are not provided by Association Financial Services and its advisers. Please seek the assistance of a tax qualified professional for any tax related questions and concerns, or we can refer you. This site has been prepared for informational purposes only and is not intended to be a solicitation, offer, or sale of investment advisory services to anyone residing outside of the United States.

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