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.
The course, “Reg BI Compliance for Broker Dealer Representatives and Principals,” is intended to provide information regarding the SEC’s Regulation Best Interest (Reg BI) to registered representatives and principals of FINRA member broker-dealers. This course will closely review the text of the rule that applies directly to the obligations of the registered representatives and principals who supervise the activity that falls under Reg BI. Upon completion of this course, individuals should be able to identify the components of Reg BI, describe when Reg BI is applicable, and understand what registered representatives must do to comply with each provision of Reg BI.
Course Topics Include:
- Regulation Best Interest & Related Definitions
- General Obligation (Best Interest Obligation)
- Disclosure Obligation
- Form CRS
- Care Obligation
- Conflict of Interest Obligation
- Compliance Obligation
- Record Making and Recordkeeping
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element 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.
