Series 7 Exam Prep 14, Suitability, Reg BI, and Recommendation Standards
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The three core suitability obligations: reasonable-basis, customer-specific, and quantitative suitability. - How Regulation Best Interest (Reg BI) establishes a higher standard of conduct than traditional suitability. - The four key obligations of Reg BI: Care…
The skinny
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