Skip to Main Content

Action Steps for Complying with Fiduciary Rule and Protecting Senior Investors

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


Crescent Club
6075 Poplar Avenue, #909
Memphis, Tennessee


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.

Events Contact

Heather Stripling
T: 205.250.8332
  Email Professional

Email Disclaimer

NOTICE: The mailing of this email is not intended to create, and receipt of it does not constitute an attorney-client relationship. Anything that you send to anyone at our Firm will not be confidential or privileged unless we have agreed to represent you. If you send this email, you confirm that you have read and understand this notice.
Cancel Accept