IAR CE

Regulation Best Interest for the Investment Adviser Representative

Overview

“Best Interest” in financial advising can mean various things, such as the most beneficial product, a duty of loyalty and care, or fair pricing. This course explores Regulation “Best Interest,” its meaning, origins, challenges, and its impact on broker-dealers and investment advisers in the financial industry.

Summary Details

Hours

2.0

Price

$20.00





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Learning Objectives

  • have a basic understanding of what Regulation Best Interest is and why this Regulation is so important
  • be aware of the differences between a broker-dealer and an investment adviser and what the different requirements are in connection with Regulation Best Interest
  • be aware of the disclosure obligations that exist in addition to the requirements of Form CRS reporting
  • know about some of the training methods used by firms in connection with the different obligations, as well as some of the challenges
  • be aware of the difference between the requirements for Reg BI and "complying" with Reg BI
  • have an all-around understanding of the ways Reg BI has changed the financial industry


Designed For:

Investment Adviser Representatives



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C21157
Provider of Record: WebCE
Provider Number: 90082
Study Level: Intermediate
Approved For: Products and Practices

Exam

Proctor: No
Passing Grade: 70
Questions: 20



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