Regulation Best Interest for the Investment Adviser Representative

Overview

“Best Interest” in financial advising can mean various things, such as the most beneficial product, a duty of loyalty and care, or fair pricing. This course explores Regulation “Best Interest,” its meaning, origins, challenges, and its impact on broker-dealers and investment advisers in the financial industry.

Find this course for your license

License or Certification

Regulator

Objectives

have a basic understanding of what Regulation Best Interest is and why this Regulation is so important
be aware of the differences between a broker-dealer and an investment adviser and what the different requirements are in connection with Regulation Best Interest
be aware of the disclosure obligations that exist in addition to the requirements of Form CRS reporting
know about some of the training methods used by firms in connection with the different obligations, as well as some of the challenges
be aware of the difference between the requirements for Reg BI and "complying" with Reg BI
have an all-around understanding of the ways Reg BI has changed the financial industry

Designed For:

Investment Adviser Representatives

Course Information

Adding additional credit may change exam requirements.

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