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SEC Sets Standards for Retail Advice

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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.