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

December 11, 2019
4:00 PM - 6:00 PM Central


Baker Donelson
211 Commerce Street
Nashville, Tennessee


December 11, 2019
4:00 PM - 6:00 PM Central

What should Broker-Dealers and Investment Advisory Firms be doing to comply with these new regulatory measures?

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 and cocktails to learn more.

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
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