Advisor’s Guide To The SEC’s Final Regulation Best Interest And Form CRS

-LO #1: Learn the obligations for broker-dealers to act in the best interests of their client when making investment recommendations under the SEC’s Regulation Best Interest rule. -LO #2: Understand the requirements for the new Form CRS that broker-dealers and SEC-registered RIAs are required to provide to potential clients. -LO#3: Explain the clarification of RIAs’ fiduciary duty to clients that was released alongside the Regulation Best Interest rule. -LO#4: Understand the SEC’s re-interpretation of the “solely incidental advice” exemption for broker-dealers to provide advice without needing to register as an investment adviser. -LO#5: Explain an advisor’s responsibility to avoid or disclose conflicts of interest and remain compliant with SEC regulations.