Knowledge Library CLE Proposed Regulation Best Interest Rule and Related Developments
Webinar
Wednesday, November 14, 2018

CLE Proposed Regulation Best Interest Rule and Related Developments

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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