The fourth module in ESI’s training series regarding Regulation Best Interest (“Reg BI”), the landmark regulation set to go into effect on June 30, 2020, is now available. This module addresses:
- Regulatory requirements for delivery of the Form CRS and comprehensive Reg BI Disclosure forms
- Initial delivery scenarios
- Ongoing delivery requirements
- Changes to forms and procedures
Click here to access this training.
Please note that this training is intended to provide ESI-specific guidance with respect to certain elements of Reg BI that have the most impact on your business. ESI is also preparing a comprehensive, computer-based training module, which all registered persons will be required to complete prior to the rule’s effective date. We will provide additional information around this, and other training, in future communications.
If you have any questions regarding this notice, please contact ESI Compliance at 800-344-7437.
TC115060(0620)1