MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Regulation Best Interest: SEC Resources & FINRA Involvement for Supervisors” to its e-learning catalog.
This course is intended for broker-dealers and their firm supervisors. The SEC updated standards of conduct established by the Securities Exchange Act of 1934 through what is called Regulation Best Interest or Reg BI. This course provides the background, purpose, and details of this more recent regulation. Topics include definitions and broker-dealer obligations of Reg BI, supervisor obligations, plus details of the new Client Relationship Summary (Form CRS). This course also provides practical suggestions and guidelines on how to comply with Reg BI. Upon completion of this course, individuals, including those responsible for firm policies and procedures, should understand the obligations under Reg BI and when those obligations are required.
Course Topics Include:
- Reg BI Overview and Terms Used
- Client Relationship Summary (CRS)
- Broker-Dealer Best Interest Obligations
- FINRA Involvement
- SEC Resources
- Supervisory Rules
- Reg BI Enforcement
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.