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.