The Progression of Regulation Best Interest and Form CRS

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Rhode Island MCLE
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About This Course

This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest.

Key topics include:

  • Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance.
  • Interpretation, guidance, and best practices:
  • In-depth analysis of recent SEC and FINRA findings related to Reg BI and Form CRS.
  • Review of Regulatory Notice 23-20.
  • Clarifications from the Form CRS FAQs.
  • Best practices for documenting Reasonably Available Alternatives.
  • Effective strategies for meeting the Care Obligation.
  • Managing Conflicts of Interest, including compensation structures for financial professionals and Transition Assistance Payments.
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