«Return to Main Blog Page
Upcoming SIFMA Events in July
June 25, 2019

OUTSIDE NEWS - Whether retained by claimants or respondents, an expert can usually benefit from attending industry conferences. Two upcoming events hosted by SIFMA may be of particular interest. 

Regulation Best Interest on July 10th in Washington D.C. from Noon-6:15pm (eastern) Attend live or via webcast. Featured speakers are The Honorable Hester M. Peirce, Commissioner/SEC; Dalia Blass, Director of Investment Management/SEC; Brett Redfearn, Director, Division of Trading and Markets/SEC. The programs includes insight on:  

  • Regulation Best Interest;
  • Form CRS; SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act;
  • What’s Next? (including state-level fiduciary proposals, DOL action and more).

Compliance & Legal Society Regional Seminar on July 24th in San Francisco (8am-5pm), provides an opportunity to stay current in the "increasingly complex and changing regulatory and compliance arenas." Much smaller than the Annual Meeting, the event presents easier access for networking with potential clients. 

Tip: SIFMA "special" membership is $150/year and usually saves $200 off the non-member price of attendance.



SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

Members: To submit a news item to the Newsroom, first log in, then return to "Newsroom" and press the grey button that will appear here.