Webinars

SEC Sets Standards for Retail Advice

View the slides >>

Wednesday, June 12, 2019

12:00 PM - 01:00 PM Eastern Daylight Time

09:00 AM - 10:00 AM Pacific Daylight Time

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.