Webinars

SEC Sets Standards for Retail Advice

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2019年6月12日

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

09:00 午前 - 10:00 午前 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.