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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • 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 




Course Information

Adding additional credit may change exam requirements.