An Overview of Regulation Best Interest

Overview

Regulation Best Interest (Reg BI) is the Securities and Exchange Commission’s (SEC) most recent regulation adopted to protect investors. This course discusses the obligations imposed under Reg BI and some of the specifics of each of these obligations. While the regulation is new and the guidance is still forthcoming, this course offers an understanding of what Reg BI may mean for you and your practice. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand disclosure obligations under Reg BI
  • comprehend care obligations under Reg BI
  • identify and manage conflict of interest obligations under Reg BI
  • explain the Client Relationship Summary requirements under Reg BI

Designed For:

Investment advisers and registered representatives 




Course Information

Adding additional credit may change exam requirements.