SEC Proposed Standards of Conduct for Retail Advice
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May 09, 2018
12:30 PM - 1:30 PM PM ET
Join us for a critical look at the recently proposed Securities and Exchange Commission rules and interpretive guidance governing advice to retail investors.
- The potential impact of the proposals on different broker-dealer and investment adviser business models
- Interpretive questions and areas of focus during the comment period
- Our thoughts about how this rulemaking may proceed in the current political environment
Contact Bernice Kyereme at firstname.lastname@example.org.
CLE credit: CLE credit in CA, IL, NY, PA, TX, and VA is currently pending approval. Credit in CT, FL, and NJ is pending approval via reciprocity.