Overview

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades, changing the way financial advisors interact with clients and driving firms to change business strategy, operations, systems, and processes.

On Wednesday, June 3 at 1:00 – 2:00 p.m. EDT, this panel of experts discussed the upcoming compliance deadline, and on-going compliance well beyond June 2020, in addition to:

  • Key operational challenges
  • How firms are managing the changes
  • The impact on retail investors

Replay Now Available – New Registrants Register Below

This SIFMA Webinar is part of an Ops Series called What Operations Professionals Need to Know.

Featured Speakers

SIFMA Webinar Series

Reg BI – How Firms are Managing Ops Changes

What Operations Professionals Need to Know

Registration Rates – Until 9/3/20

  • Members $99
  • Non Members $299
  • Regulators $49

Overview

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades, changing the way financial advisors interact with clients and driving firms to change business strategy, operations, systems, and processes.

On Wednesday, June 3 at 1:00 – 2:00 p.m. EDT, this panel of experts discussed the upcoming compliance deadline, and on-going compliance well beyond June 2020, in addition to:

  • Key operational challenges
  • How firms are managing the changes
  • The impact on retail investors

Replay Now Available – New Registrants Register Below

This SIFMA Webinar is part of an Ops Series called What Operations Professionals Need to Know.

Featured Speakers

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official Webinar Press Policy.

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Please note: Webinar access instructions will be sent within 24 hours of the start of the webinar.

 

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Code of Conduct
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Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of the webinar. No substitutions or transfers will be accepted.