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
Type
Learning 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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