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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Learn the requirements for disclosing information under Reg BI
  • Grasp the standards of care required when dealing with clients
  • Recognize and manage conflicts of interest
  • Understand the components of the client relationship summary
  • Learn the responsibilities related to supervision under Reg BI

Designed For:

Registered Representatives




Course Information

Adding additional credit may change exam requirements.