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SIFMA Webinar-SEC Regulation Best Interest
April 21, 2020

OUTSIDE NEWS - SIFMA Compliance & Legal Socieity is hosting a complimentary webinar on April 28th at 1:00pm eastern covering the fast approaching deadline for the SEC's Regulation Best Interest compliance. Topics to be covered encompass: Complying with the new standard of care obligation; Making best interest recommendations; Demonstrating good faith efforts to comply in light of COVID-19; Managing compliance and supervisory challenges. Featured speakers include: Michelle Kelley, LPL Financial, LLC; Kevin Carroll, SIFMA; Lourdes Gonzalez, U.S. Securities and Exchange Commission; Yoon-Young Lee, WilmerHale and Dean Pinto, Morgan Stanley Wealth Management. Click here to register. Thanks to Jerry DeNigris for passing along.


 


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