Our Standard of Care

Regulation Best Interest (Reg BI) at National

At National, we believe the best investor is a well-informed investor. The documents available on this page explain important information about your relationship with our firm, such as how our financial professionals are compensated, potential conflicts of interest, costs and fees associated with our services, and more. We encourage you to read these materials carefully.

These documents are particularly important since the Securities and Exchange Commission implemented Regulation Best Interest (“Reg BI”) and Form CRS Relationship Summary effective June 30, 2020. Reg BI is a protective measure that requires broker-dealers and their representatives to act in a retail customer’s best interest when recommending any securities transaction or investment strategy. The broker-dealer and its representatives cannot place their own financial or other interests ahead of the retail customer’s interests. Additionally, SEC-registered investment advisers and SEC-registered broker-dealers must deliver to retail investors a brief Customer Relationship Summary, or Form CRS, with information about the firm. You can find these materials for National’s affiliates below.

National Securities Corporation (NSC)

National’s broker dealer offering brokerage services:

National Asset Management (NAM)

National’s investment advisor offering advisory services:

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