Overview
This course covers the regulatory obligations of broker-dealers and associated persons under Reg BI, Form CRS, and SEC standards for RIAs. It examines recommendations, related obligations, and complaint handling, including recordkeeping and reporting. You’ll also review the life cycle of complaints, from arbitration to investigation, and FINRA findings on regulatory lapses and disciplinary actions.
Learning Objectives
- Have a solid familiarity with and understanding of Reg BI and Form CRS
- Understand the meaning of “making a recommendation” and what it triggers
- Understand the obligations of Reg BI
- Understand RIA standards of conduct
- Understand what must be included in Form CRS
- Understand when Form CRS must be distributed.
Designed For
Registered representatives
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