Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

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. 

Find this course for your license:

License or Certification

Regulator

Type