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How to Prepare for the SEC's New Standards of Conduct Rulemaking Package

September 18, 2019
4:00 PM - 6:00 PM Central
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Location:

Crescent Club
6075 Poplar Ave #909
Memphis, Tennessee

Date/Time:

September 18, 2019
4:00 PM - 6:00 PM Central

On June 5, 2019, the SEC adopted a series of rulemakings and interpretations intended to increase transparency in the financial services industry while preserving investors' access to the market. These initiatives include Regulation Best Interest, the Form CRS Relationship Summary, and a pair of interpretations under the Investment Advisers Act of 1940.

Join us for a roundtable discussion focused on what broker-dealers and investment advisory firms should be doing to comply with these new regulatory measures.

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

Events Contact

 
Heather Stripling
T: 205.250.8332
  Email Professional

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