6b. BD/IA – State Fiduciary and Best Interest Regulations

Reg BI has not stopped the wave of state fiduciary duty proposals. This session will address the potential impact of these state regulations on dually registered, SEC-registered investment advisory, and insurance affiliated firms. The panel will discuss best practices for compliance and supervisory teams to meet these different conduct standards. State regulators will also provide key insights on state oversight in this space.

Learning Objectives:

  • Hear updates on fiduciary duty rules that have either been proposed or are now effective. Including, but not limited to, those from New York, Massachusetts, New Jersey, and Nevada and the NAIC
  • Understand states’ lawsuit to overturn Reg BI
  • Learn how best to comply with ongoing state and federal monitoring requirements and required filings (Form CRS, ADV3) under state rule proposals and Reg BI
  • Address state enforcement of suitability standards


Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 11:45 am - 1:00 pm Chris Gerold Andrew Hartnett Susan Schroeder

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