Just before the Holidays, I attended FINRA’s one-day Reg BI seminar in Washington D.C., where member firms and regulators (but primarily the SEC) discussed the new rule and what they hoped it meant for the industry.
As you...more
Ron Betman and Heidi VonderHeide will discuss the state of the law two years after Kokesh v. S.E.C., SEC’s Enforcement’s focus on conflicts of interest disclosure, and Regulation Best Interest (Reg BI)....more
11/27/2019
/ Banking Sector ,
Broker-Dealer ,
Conflicts of Interest ,
Continuing Legal Education ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Services Industry ,
Investment Companies ,
Kokesh v SEC ,
Regulation Best Interest ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Webinars