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2015 SEC Targets and 2016 Labor Law Challenges

March 3, 2016
4:00 PM - 6:00 PM


Crescent Club
6075 Poplar Ave #909
Memphis, Tennessee


March 3, 2016
4:00 PM - 6:00 PM

4:00 – 6:00 p.m. Discussion and Beverages

Join us for another roundtable as we review the SEC's 2015 investment adviser actions and discuss how those rulings might impact your firm going forward. We'll also tackle the U.S. Department of Labor's impending changes to overtime rules and the classification of independent contractors, issues that will affect both broker-dealers and investment adviser firms in 2016.

Continuing Education Credit:
This program is pending CLE credit approval in the state of Tennessee.

Events Contact

Heather Stripling
T: 205.250.8332
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