Quest CE Releases Course on SEC Reg BI Guidance
MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
As of June 30, 2020, broker-dealers and registered investment advisors will need to be in compliance with the SEC’s Regulation Best Interest (Reg BI) requirements. The course, “SEC Regulation Best Interest FAQs, Guidance and Exam Preparedness,” is intended to provide a more in-depth review of Reg BI’s impact into the broker-dealer and registered investment advisory communities. The course will review the SEC’s frequently asked questions and firm checklists from FINRA. Users will also learn what to expect for exam compliance with the new Form CRS and receive clarification on the use of the term ‘advisor.’
Course Topics Include:
– Regulation Best Interest Background
– Frequently Asked Questions
– Recommendation and Use
– Four Components and Applicability
– Advisor Vs. Advisor Vs. Broker
– Duty of Care Documentation
– Form CRS
– Reg BI Best Practices
– Exam Focus Areas
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail email@example.com. To view Quest CE’s Investment Adviser course catalog, click here.
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.