SEC Standards of Conduct: Navigating the Investment Adviser Interpretation

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Thursday, June 27, 2019
12:00 PM - 01:15 PM Eastern Daylight Time
09:00 AM - 10:15 AM Pacific Daylight Time

Join us for an in-depth discussion of the Securities and Exchange Commission’s interpretation of the standard of conduct for investment advisers, part of our ongoing coverage of the new retail advice rules.


  • Application of fiduciary duty to various advisory services
  • Initial selection and ongoing monitoring of account types
  • Implications for IRA rollovers
  • Disclosure obligations and treatment of conflicts of interest
  • Clarification of advice that is “solely incidental” to brokerage


Contact Bernice Kyereme.

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.