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Action Steps for Complying with Fiduciary Rule and Protecting Senior Investors

November 9, 2016
4:00 PM - 6:00 PM
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Location:

Crescent Club
6075 Poplar Avenue, #909
Memphis, Tennessee

Date/Time:

November 9, 2016
4:00 PM - 6:00 PM

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

Join us for a roundtable discussion on the Department of Labor's Fiduciary Rule and the actions broker-dealer firms and RIAs should be taking to become operationally compliant by the first implementation date of April 10, 2017. We will also discuss the SEC's and FINRA's National Senior Investor Initiative and the practices broker-dealer and investment adviser firms should be implementing to address the particular needs and circumstances of senior investors.

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

RSVP to attend by Wednesday, November 2.

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