CLE Proposed Regulation Best Interest Rule and Related Developments | Wolters Kluwer Legal & Regulatory

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Wolters Kluwer Legal and Regulatory is proud to partner with Mayer Brown

Wolters Kluwer thought leaders are pleased to join Daniel Nathan, a Partner, Orrick with a combined 25 years as a senior enforcement official with the SEC, CFTC, and FINRA and Anna Pinedo, a Partner in Mayer Brown’s New York office and a member of the Corporate & Securities practice, to explore Proposed Regulation Best Interest Rule and Related Developments.

Key discussion topics will include:

Overview of the proposed regulation;
Principal areas of comment;
What we can anticipate in terms of timeline and process and what firms can do now;
FINRA’s proposed amendments to quantitative suitability; and
State fiduciary rules.

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