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The SEC's Proposed Rules, Interpretations, and Forms on the Standard of Conduct for Broker-Dealers and Investment Advisers

June 6, 2018
4:00 PM - 6:00 PM Central


Crescent Club
6075 Poplar Ave #909
Memphis, Tennessee


June 6, 2018
4:00 PM - 6:00 PM Central

Baker Donelson invites you to join us for a roundtable discussion and presentation on the SEC's recent rulemaking package proposing to strengthen the standard of conduct that broker-dealers owe to their customers, reaffirming and clarifying the standard of conduct that investment advisers owe to their clients, and providing disclosure forms for investment advisers and broker-dealers to describe their relationships and roles to retail customers.

We will analyze the proposed rulemaking package and discuss the effects on your businesses and practices going forward.

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

Events Contact

Heather Stripling
T: 205.250.8332
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