The Broker-Dealer Compliance Officer's Reg BI

Description

What is the The Broker-Dealer Compliance Officer's Reg BI course about?

Pre-stage Reg BI care-obligation, branch-supervision, and 4530 evidence as one trail an examiner can pull on demand. An examiner asks for the care-obligation file behind one recommendation. You have the trade ticket, the rep's note, the supervisory sample, the disclosure record, all in different systems, with different owners, on different cadences. Stitching them into one defensible record per recommendation is the work.

Why this course?

What do you take away from the The Broker-Dealer Compliance Officer's Reg BI course?

One continuously populated evidence record per recommendation, per branch, per rep, exportable on examiner request. A care-obligation review template that ties trade, rationale, and supervisory sample into a single auditable file. A branch-supervision sweep cadence that produces inspection evidence as a by-product, not a project. A FINRA 4530 event-capture and reporting workflow that closes the loop between intake and submission. A reg-change.

What you get with this course?

Twelve text modules in the Art of Service learning environment. Downloadable templates for care-obligation reviews, branch sweeps, 4530 intake and filing, rep files, conflicts inventory, Form CRS delivery, examination response, and the evidence dashboard. Worked examples showing each template populated for a representative recommendation, branch, rep, and event. Hand-built implementation playbook mapped to your supervisory structure, delivered alongside course access. 30-day money-back.

What you will have in hand by Day 1, Week 1, Month 1?

Within 24 hours of purchase: account provisioned in the Art of Service learning environment. Within 24 hours of purchase: hand-built implementation playbook delivered alongside course access. Self-paced thereafter; most officers work through one module per week alongside their existing program.

What does the The Broker-Dealer Compliance Officer's Reg BI cover on before and after?

Care-obligation files reconstructed under deadline pressure. Branch sweep findings written up after the fact. 4530 events tracked in a spreadsheet that nobody trusts. Reg-change adoption documented in email threads. Examination response pulls three people off other work for a week. Care-obligation files continuously populated from the systems already in use. Branch sweep evidence captured as a by-product of the inspection. 4530 events.

What happens if you do not address this?

The program runs, the reports go out, the examinations get answered. But every examination cycle costs more time than the last one because the evidence is reconstructed each time instead of pre-staged. The risk is not a finding; the risk is the program officer becoming the single point of failure for every examination request.

Who it is for?

A broker-dealer compliance officer running a Reg BI program, supervisory control system, and FINRA 4530 reporting line for a multi-branch retail or wirehouse business. Already familiar with the rules, already running surveillance, already producing the periodic reports. Wants the evidence file pre-assembled, not assembled on demand.

More answers: what you get with every course, refund policy, all help answers.

A focused course, tailored for you

The Broker-Dealer Compliance Officer's Reg BI Evidence Playbook

Pre-stage Reg BI care-obligation, branch-supervision, and 4530 evidence as one trail an examiner can pull on demand.

An examiner asks for the care-obligation file behind one recommendation. You have the trade ticket, the rep's note, the supervisory sample, the disclosure record, all in different systems, with different owners, on different cadences. Stitching them into one defensible record per recommendation is the work that quietly eats compliance time.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

Reg BI care-obligation reviews, branch supervision sweeps, FINRA 4530 reportable events, reg-change tracking, and the supervisory control system that ties them together each live in their own workflow. When an examiner request lands, the program officer is the only person with the map. Reconstructing the file for a single recommendation can pull three or four people off other work for a week. The course is a re-architecture: one evidence record per recommendation, one record per branch, one record per rep, populated continuously by the workflows you already run, and ready to export at the moment of request. No new system. No re-papering. New plumbing between the systems you already have.

What you walk away with

One continuously populated evidence record per recommendation, per branch, per rep, exportable on examiner request.
A care-obligation review template that ties trade, rationale, and supervisory sample into a single auditable file.
A branch-supervision sweep cadence that produces inspection evidence as a by-product, not a project.
A FINRA 4530 event-capture and reporting workflow that closes the loop between intake and submission.
A reg-change tracker that maps each amendment to the affected supervisory procedure, training cycle, and disclosure.

The 12 modules

Module 1. Mapping Reg BI obligations to your supervisory control system

Walks the four Reg BI obligations against the supervisory control system already in place. Identifies where care-obligation evidence currently sits across order management, CRM notes, sampling reports, and disclosure logs. Produces a single ownership map: who owns which artefact, on what cadence, and what gets stitched together for an examiner request. The output is a compliance program inventory that becomes the spine for every later module.

Module 2. The care-obligation review template

Builds the one-page review template that stitches the trade ticket, the rep's documented rationale, the alternative-considered notes, the cost-and-feature comparison, and the supervisory sample into a single record per recommendation. Covers how to source each field continuously from the systems already in use, so the file exists before any examiner asks. Includes the populated example and the blank template.

Module 3. Branch supervision sweep cadence

Designs a branch-level inspection cadence that produces evidence as a by-product of the sweep, not as a separate write-up. Covers the sample-selection methodology, the on-site evidence checklist, the remote-branch variation, and the documentation pattern that satisfies FINRA 3110 inspection requirements without doubling the workload. Includes the sweep log template and the branch-inspection report shell.

Module 4. FINRA 4530 reportable events end to end

Walks the full 4530 lifecycle: intake from HR, legal, customer complaints, and surveillance alerts; the triage matrix that maps each event type to the right disclosure path; the supervisory review and sign-off; the actual filing; and the post-filing record that closes the audit trail. Includes the intake form, the triage matrix, and the filing log template.

Module 5. Customer complaint workflow and disclosure

Builds the complaint workflow from initial receipt through investigation, resolution, U4 and U5 amendments, and 4530 disclosure. Covers the line between a service issue and a reportable complaint, the documentation that distinguishes them, and the supervisory review that signs off the path. Includes the complaint log template and the disclosure decision tree.

Module 6. Rep-level supervisory file

Designs the per-rep supervisory file that pulls licensing status, disclosures, branch assignment, sampling history, complaint history, and remediation actions into a single record. Covers the cadence for refreshing each field, the triggers that elevate a rep to heightened supervision, and the documentation pattern that supports a 1017 application or an examination. Includes the rep file template and the heightened-supervision plan template.

Module 7. Reg-change tracking and procedure cascade

Builds the reg-change intake and cascade: monitoring the rulemaking calendar, mapping each amendment to the affected written supervisory procedures, the training modules that need updating, the disclosure documents, and the supervisory sampling templates. Covers the change-log format that survives an examination question on when and how the firm adopted a rule change. Includes the change tracker and the cascade map.

Module 8. Supervisory sampling that defends itself

Redesigns the supervisory sampling methodology so the sample size, sample selection rationale, review depth, and findings are documented at the moment of the review, not reconstructed afterward. Covers the statistical defensibility of the sample, the risk-weighting that prioritises higher-risk recommendations, and the documentation pattern that an examiner accepts without follow-up questions. Includes the sampling protocol and the review-log template.

Module 9. Conflicts inventory and mitigation evidence

Builds the conflicts inventory that Reg BI's conflict-of-interest obligation requires: product compensation, revenue-sharing arrangements, third-party payments, proprietary product preferences, and rep-level incentive structures. Covers the mitigation evidence that pairs with each conflict, the disclosure language that pairs with each mitigation, and the supervisory review that confirms the mitigation operates as designed. Includes the conflicts inventory template and the mitigation evidence log.

Module 10. Form CRS and disclosure delivery evidence

Closes the loop on Form CRS delivery and the related disclosure obligations. Covers the delivery event capture, the acknowledgement record, the material-change cadence, and the supervisory review that confirms delivery on every covered relationship. Includes the delivery log template and the material-change tracker.

Module 11. Examination response runbook

Builds the response runbook for an FINRA or SEC examination request: the request-intake log, the ownership map that points each request line at the system and the owner, the production cadence that meets the response deadline, and the post-production debrief that captures what to pre-stage next time. Covers the cycle examination, the cause examination, and the sweep examination as separate response patterns. Includes the request log template and the production tracker.

Module 12. Pre-staging the examination evidence file

The final module assembles the work of the prior eleven into a continuously refreshed evidence file. Covers the dashboard that shows the health of each evidence stream, the refresh cadence that keeps each artefact current, the quarterly self-test that confirms the file would survive an examination on demand, and the annual program assessment that the supervisory control system already requires. Includes the dashboard template and the self-test checklist.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Examiner request lands and the file is already assembled.

Branch inspection sweep produces examination-ready evidence as a by-product.

FINRA 4530 reportable event moves from intake to filing through a single closed-loop workflow.

Reg amendment cascades through procedures, training, and disclosure with a documented change log.

What you get with this course

Twelve text modules in the Art of Service learning environment.
Downloadable templates for care-obligation reviews, branch sweeps, 4530 intake and filing, rep files, conflicts inventory, Form CRS delivery, examination response, and the evidence dashboard.
Worked examples showing each template populated for a representative recommendation, branch, rep, and event.
Hand-built implementation playbook mapped to your supervisory structure, delivered alongside course access.
30-day money-back guarantee.

What you will have in hand by Day 1, Week 1, Month 1

Within 24 hours of purchase: account provisioned in the Art of Service learning environment.

Within 24 hours of purchase: hand-built implementation playbook delivered alongside course access.

Self-paced thereafter; most officers work through one module per week alongside their existing program.

Before and after

Before

After

Care-obligation files continuously populated from the systems already in use. Branch sweep evidence captured as a by-product of the inspection. 4530 events flow through a single closed-loop workflow. Reg-change adoption documented in a single change log. Examination response is an export, not a project.

What happens if you do not address this

Who it is for

Who this is NOT for. Anyone looking for a primer on what Reg BI is, or what a 4530 report contains. This is for the officer who runs the program and wants the evidence architecture cleaned up.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Roughly two to three hours per module, twelve modules total. Most program officers run the course alongside the live program, applying each module's templates to current work as they go.

Why $199 is the right number

A FINRA-focused law firm walk-through covers the rules well but stops at the procedure level and does not touch evidence plumbing. A consulting engagement that builds the same architecture runs into five figures and ships in months. This course ships the architecture, the templates, and the hand-built implementation playbook for 199 USD, in a format the program officer can adopt without engaging external counsel or a consulting firm.

FAQ

Is this a primer on Reg BI?

No. It assumes the program is already in place. It re-architects the evidence file so the program defends itself on demand.

Does it cover the supervisory control system requirements?

Yes. Modules 1 and 12 thread the supervisory control system through the evidence architecture, and the annual program assessment cadence is built into the final module.

What if my firm uses a third-party surveillance platform?

The course is platform-agnostic. The templates source fields from whatever system holds them; the value is the stitching, not a new system.

Is the hand-built implementation playbook generic?

No. It is built per buyer, mapped to your supervisory structure, branch count, and business mix. Delivered alongside course access.

What is the refund policy?

30 days, no questions.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.