REGULATION BEST INTEREST (REG BI) COMPLIANCE
This specialized course aims to provide an in-depth understanding of Regulation Best Interest (Reg BI), the landmark rule enacted by the U.S. Securities and Exchange Commission (SEC) in 2019. Designed for law students, compliance officers, financial professionals, and attorneys, this course will dissect the history, legal framework, obligations, and nuances associated with Reg BI compliance. Emphasis will be placed on practical implementation, compliance challenges, and the potential impact on both broker-dealers and investors.
Course Objectives
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To provide a thorough understanding of the legal and regulatory framework of Reg BI.
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To dissect the obligations and duties of broker-dealers under Reg BI.
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To discuss the practical implications of Reg BI on compliance programs.
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To evaluate the impact of Reg BI on consumer protection and market dynamics.
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To examine potential future changes, including litigation and amendments, affecting Reg BI.