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.
Please submit this form to view the webinar:
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.
- 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.