SEC Standards of Conduct: Navigating New Requirements for Retail Advice Disclosures

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Tuesday, September 10, 2019
12:00 PM - 01:15 PM Eastern Daylight Time
11:00 AM - 12:15 PM Central Daylight Time
09:00 AM - 10:15 AM Pacific Daylight Time

Join us for a focused discussion of new and enhanced disclosure requirements for retail advice under the Securities and Exchange Commission's Form CRS, Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, and the Certified Financial Planners Board's Standard of Conduct.


  • Overview of disclosure requirements for broker-dealers and investment advisers 
  • How to operationalize a holistic approach to disclosures and where to start 
  • Layered disclosure structures 
  • Treatment of conflicts of interest 
  • Supporting CFP professionals' obligations under the new standards 
  • Maintaining consistent disclosures over time 

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.