4c. BD/IA – Regulation Best Interest – SEC Innovation or Zombie DOL Fiduciary Rule?


This session will focus on reviewing the key components of Regulation Best Interest and the practical and tactical implications associated with satisfying the requirements under the enhanced standard of care.
Advanced Preparation: None
Pre-requisites for participation: None
Learning Objectives:
• Understand the evolution of the Broker Dealer standard of care up through Regulation Best Interest
• Understand when the duties under Reg BI apply
• Compare the difference between the enhanced standard of care required by Reg BI and the fiduciary standard of care owed by advisers under the Advisers Act
• Discuss the practical compliance considerations implicated by Reg BI

Sponsored by:

Panel                        Program Level: Intermediate Date: October 21, 2019 Time: 3:45 pm - 5:00 pm Patrick Hayes Alice Palmer