SEC Regulation Best Interest (Reg BI) 21.0

The SEC's Regulation Best Interest is a principles-based rule intended to clarify the obligations of Broker-Dealers and Investment Advisers when they provide recommendations or investment advice to retail clients. This course is intended to help provide a good understanding of the requirements of this rule. This course is recommended to be taken every 2-3 years by individuals, managers, and trade support personnel at firms active in the U.S. futures and swaps markets.

The SEC's Regulation Best Interest is a principles-based rule intended to clarify the obligations of Broker-Dealers and Investment Advisers when they provide recommendations or investment advice to retail clients. This course is intended to help p...