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Free course template · US federal

Regulation best interest and fiduciary duty: Recommendations, form CRS and conflicts

A ready-made course, live deck and three surveys for registered representatives. AhaSlides tracks progress, completion and scores for you. 45 minutes, 6 lessons, 10-question final check. Last reviewed 13 November 2026; not legal advice.

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Regulation best interest and fiduciary duty: try 3 questions

Three questions from this course. Pick an answer, then see why.

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Three pieces that work together

Learners prepare on their own, you answer questions live, and the surveys tell you what stuck. 2 fields to fill in with your own policy, contacts and locations; each one is highlighted inside the course.

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Completion is tracked for you

Learners sign in to take the course, so every start, finish and score is recorded in AhaSlides. No spreadsheet to keep.

  • Who has finished

    See who has not started, who is in progress and who has completed the course.

  • Every score

    Each learner's result on the 10-question final check, against the 80% pass mark.

  • What landed

    Survey results show what people took away and what to change next time.

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6 lessons, about 45 minutes

What learners can do at the end of each lesson. Minutes are an estimate.

  • Lesson 1: Two standards, one goal · 8 min

    Before you begin · Best interest for broker-dealers, fiduciary duty for advisers · Check your understanding

  • Lesson 2: The four obligations · 10 min

    Disclosure, care, conflict of interest, compliance · The three parts of the care obligation · Meets the standard or needs more? · Check your understanding

  • Lesson 3: Form CRS and disclosure · 7 min

    What the relationship summary is and when it goes out · Answering the client's questions in plain words · Practise

  • Lesson 4: Conflicts · 10 min

    Common conflicts · Practise · Practise · Check your understanding

  • Lesson 5: Your record · 5 min

    What to document and where · Escalation

  • Lesson 6: Final assessment · 5 min

    Final assessment · Course complete

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Often taught together

Courses teams often run alongside this one.

Also listed in

  • Banking & Financial Services Training
  • US federal
  • AhaSlides
  • Financial services
  • Investment & wealth management
  • Regulated & licensed firms
  • Legal, compliance & risk
  • Sales teams
  • Frontline & customer-facing staff
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Common questions

Yes. The course, the live deck and all three surveys are free. Claiming the template into your AhaSlides account is free too.

Yes. The course is self-paced and online, and the live deck lets you add a live session in the room or online.

At onboarding or as continuing professional development, with a yearly refresher (best practice).

Registered representatives, investment adviser representatives, dual registrants and their supervisors; run by compliance or training teams at broker-dealers and RIAs.

Record completion in your own LMS or record system, so you can show who finished the course and when.

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply.

Your own details, each highlighted inside the course:
  • Link to your live session deck
  • Link your conflicts policy
Then edit anything else you like: wording, scenarios, your logo.
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Free. Copy the course, live deck and all three surveys into your AhaSlides account in one click.

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