Webinars
SEC Sets Standards for Retail Advice
| Wednesday, June 12, 2019 |
| 12:00 PM - 01:00 PM ET |
| 09:00 AM - 10:00 AM PT |
Join us for an analysis of the Securities and Exchange Commission’s new rules and interpretive guidance governing advice to retail investors.
TOPICS WILL INCLUDE:
- Key changes from the proposals
- Open interpretive questions
- Impact on business models and market segments
- Navigating the changes and developing action plans
QUESTIONS?
Contact Kate Lesko.
CLE credit: CLE credit in CA, FL, IL, NY, PA, TX, and VA is currently pending approval. CLE credit in CT and NJ is pending approval via reciprocity.
