Webinar: The SEC's Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers (2018)

Description: An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.

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Webinar: The SEC's Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers

On April 18, in a 4-1 vote, the United States Securities and Exchange Commission (the SEC) proposed a comprehensive set of rules and guidance governing the fiduciary duty and standard of conduct applicable to investment advisers and broker-dealers that provide retail investment advice.

Please join this webinar, presented by representatives with Eversheds Sutherland and RegEd, to learn how the proposed rules could impact the industry.

 
Topics that will be covered
 
  • An overview of the proposal package, including events leading up to the proposal, current regulatory landscape, and what to expect.
  • New requirements and restrictions resulting from the rule that would affect broker-dealers and investment advisers.
  • Strategies for effectively complying with the proposed requirements and minimizing disruption to the ongoing business of broker-dealers and investment advisers.
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