SEC Proposed Standards of Conduct for Retail Advice

Join us for a critical look at the recently proposed Securities and Exchange Commission rules and interpretive guidance governing advice to retail investors.

TOPICS INCLUDE:

• The potential impact of the proposals on different broker-dealer and investment adviser business models
• Interpretive questions and areas of focus during the comment period
• Our thoughts about how this rulemaking may proceed in the current political environment

QUESTIONS

Contact Bernice Kyereme at bernice.kyereme@morganlewis.com.