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
Learning 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.
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S1-31 - Framework