SIFMA C&L Virtual Forum

Investment management partner Lindsay Jackson will speak at SIFMA’s C&L Virtual Forum on a panel titled “DOL Take 3: Proposed Investment Advice Exemption and Five-Part Test Interpretation.” The panel will discuss the overview of the DOL’s proposal with a focus on impacts to interactions with retirement investors through brokerage and advisory models. Key areas to be addressed include comparison to SEC standards (Reg. BI/Advisers Act Interpretations), comparison to the vacated DOL fiduciary rule, and the potential effect on product distribution (packaged products, sweep, principal traded securities).