Supervisory Best Practices Under Reg BI

Overview

Regulation Best Interest (Reg BI) was adopted to establish a standard for broker-dealers and its associated persons when making recommendations of a security or an investment strategy that involves securities to a retail customer. Included in Reg BI is a supervisory or compliance obligation. This course will exam Reg BI and the supervisory and compliance obligations of the regulation. 

Learning Objectives

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

  • disclosure obligations
  • care obligations
  • conflict of interest obligations
  • the client relationship summary
  • supervisory obligations
  • compliance obligations

Designed For

This course is designed for Registered Representatives. 
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