Webinar

The Evolution of Regulation Best Interest

Aug 09, 2023

In partnership with InvestorCOM, this webinar takes a look at the evolution of Reg BI, SEC guidance notes published this year and the future direction of Reg BI.

Download the webinar recording below!

It’s been three years since the SEC (Securities and Exchange Commission) implemented Regulation Best Interest (Reg BI) and it remains a hot topic with both political parties today. After debating for three years about how the broker-dealer standard of conduct would rival the fiduciary standard, the two standards are converging, per an April 2023 SEC Staff Bulletin.

In this webinar, we discussed:

  • The history & definition of RegBI
  • Post Reg BI guidance
  • April 2023 Care Obligation Staff Bulletin
  • Key takeaways from the first Reg BI enforcement case
  • and more!

Continuing education credits will not be offered for participation in this webinar.

Download the recording below