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SEC Standards of Conduct: Navigating the Investment Adviser Interpretation

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Thursday, June 27, 2019
12:00 PM - 01:15 PM ET
09:00 AM - 10:15 AM PT

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.

TOPICS WILL INCLUDE:

  • 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

QUESTIONS?

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.