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. 

Learning Objectives

Upon completion of this course, you should understand your obligations under Reg BI including:

  • Disclosure obligations;
  • Care obligations;
  • Conflict of interest obligations; and
  • The Client Relationship Summary.

Designed for

Investment advisers and registered representatives 

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