Compliance Obligations of Regulation Best Interest
Overview
In this course, you will learn about your compliance obligations surrounding Regulation Best Interest (Reg BI), including disclosure, conflict of interest, care obligations, and the consequences of failure to comply.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- The history of Reg BI
- The requirements for both a broker-dealer and investment adviser under Reg BI
- The requirements surrounding Form CRS
- Disclosure obligations under Reg BI
- Care obligations under Reg BI
- Compliance obligations under Reg BI
Designed For:
Investment Adviser Representatives
Course Information
Adding additional credit may change exam requirements.
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