Regulation Best Interest

August 28, 2019
On Demand

Your desk!


Regulation Best Interest (Reg BI) requires broker-dealers and their representatives to act in the best interest of retail customers when recommending securities investments or investment strategies to retail customers. How can you ensure your recommendations comply with this regulation?

Join ACA as we break down the requirements of this regulation and what it means for broker dealers.

Discussion Topics

  • Reg BI – The Basics
  • Identifying Conflicts of Interest
  • Form CRS and Disclosure Requirements
  • Reg BI vs. DOL Fiduciary Rule
  • State Fiduciary Updates
  • Practical Considerations for Crafting a Compliance Program Around Reg BI