FINRA: Reg BI Compliance for Registered Representatives and Their Supervisors (ELC263)

Overview

This course is intended to provide information on the Securities and Exchange Commission’s (SEC’s) Regulation BI (Best Interest) to registered representatives (RRs) and their supervisors while closely reviewing the text of the rule. While broker-dealers (BDs) who make securities recommendations to retail customers are required to adopt policies and procedures to comply with Reg BI, there are also direct compliance requirements for RRs, and this course will provide them and their supervisors with information about their respective obligations under the rule. 

Learning Objectives

By taking this course, you will be able to:

  • describe the circumstances in which, and to whom, Reg BI applies;
  • identify the components of Reg BI; and
  • discuss what an RR must do to maintain compliance with Reg BI. 

Designed For

Registered Representatives 
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