AI & Machine Learning

Reg BI

Analyze the broker-dealer standard of conduct under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance. Owns what triggers a 'recommendation' under Reg BI and the canonical comparison of Reg BI vs FINRA suitability vs IA fiduciary duty. Use when the user asks whether a broker-dealer recommendation satisfies Reg BI, how to evaluate reasonably available alternatives, rollover recommendation compliance, dual-registrant capacity disclosure, share class or account type recommendations, or Reg BI examination preparation. Also trigger when users mention 'best interest standard for brokers', 'is this a Reg BI recommendation', 'care obligation documentation', 'sales contest elimination requirement', or ask how Reg BI differs from suitability or fiduciary duty. (For the IA fiduciary duty itself and DOL rules, use fiduciary-standards.)

Publisher / source

JoelLewis/finance_skills (found on skills.sh)

Upstream record

JoelLewis/finance_skills

Version

Version 3

Published

2026-11-02

Publication review

Approved for publication · recorded passed scan 2026-11-02

Content fingerprint

1dcdb43f75311326da1f2c689ad932075ee832c4c61d22dd03adba67dd8d0201