Regulation Best Interest (Reg BI) (IAR CE)
$
12.50
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Reg BI is a package of rules and interpretations that enhance the quality and transparency of the relationships that retail investors have with broker-dealers and investment advisers. This regulation includes a Fiduciary Interpretation to clarify the duty that IAs owe to their clients. This duty – which includes a duty of care and duty of loyalty – will be examined.
Chapter list:
1. Regulation Best Interest (Reg BI)
2. Course Assessment