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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
--Select an Option--
American College CE
CFP® Certification CE
CIMA & CPWA CE
IAR CE
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.