Overview

Join SIFMA on Wednesday, July 10 for an in-depth, half-day seminar to understand the SEC’s final Regulation Best Interest.

The afternoon program will feature a keynote address and expert panels, providing insight on:

  • Regulation Best Interest
  • Form CRS
  • SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act
  • What’s Next? (including state-level fiduciary proposals, DOL action and more)

Not able to attend the seminar in-person? Discover the attendee experience here

Featured Speakers

Hester M. Peirce The Honorable Hester M. Peirce Commissioner U.S. Securities and Exchange Commission Dalia Blass Dalia Blass Director of Investment Management U.S. Securities and Exchange Commission Brett Redfearn Brett Redfearn Director, Division of Trading and Markets U.S. Securities and Exchange Commission

Regulation Best Interest Seminar

Explore the SEC's final rules governing investment advice

Date

July 10, 2019

Location

Washington, DC or Webcast

Overview

Join SIFMA on Wednesday, July 10 for an in-depth, half-day seminar to understand the SEC’s final Regulation Best Interest.

The afternoon program will feature a keynote address and expert panels, providing insight on:

  • Regulation Best Interest
  • Form CRS
  • SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act
  • What’s Next? (including state-level fiduciary proposals, DOL action and more)

Not able to attend the seminar in-person? Discover the attendee experience here

Featured Speakers

Program

12:00pm – 6:15pm

Registration Desk Hours

12:00pm – 12:45pm

Networking Lunch

12:45pm – 12:55pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

12:55pm – 1:40pm

Participants

Yoon-Young Lee, Dalia Blass, Brett Redfearn

Moderator

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Panelists

Dalia Blass

Director, Division of Investment Management

U.S. Securities and Exchange Commission

Dalia Blass’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

1:40pm – 2:40pm

A deep dive into the legal, regulatory and operational requirements of the final rule, including a discussion of implementation challenges, lingering interpretive questions, and examination and enforcement expectations.

A deep dive into the legal, regulatory and operational requirements of the final rule, including a discussion of implementation challenges, lingering interpretive questions, and examination and enforcement expectations.

Participants

Stephanie Nicolas, Kevin Carroll, Evan Charkes, Robert L.D. Colby, Emily Westerberg Russell

Moderator

Stephanie Nicolas

Partner

WilmerHale

Stephanie Nicolas’s Biography

Panelists

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Evan Charkes

Managing Director and Associate General Counsel

Bank of America

Evan Charkes’s Biography

Robert L.D. Colby

Executive Vice President and Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

2:40pm – 3:30pm

A discussion of the prospective value-add of Form CRS and anticipated CRS implementation challenges, and an analysis of what is new and different in the SEC’s most recent interpretive guidance,…

A discussion of the prospective value-add of Form CRS and anticipated CRS implementation challenges, and an analysis of what is new and different in the SEC’s most recent interpretive guidance, and its prospective practical impact on the industry.

Participants

Amy Doberman, Christopher Gilkerson, Dean Pinto, Theresa Seys, Sarah G. ten Siethoff

Moderator

Amy Doberman

Partner

WilmerHale

Amy Doberman’s Biography

Panelists

Christopher Gilkerson

Senior Vice President, Chief Legal Officer and General Counsel

Charles Schwab & Co., Inc.

Christopher Gilkerson’s Biography

Dean Pinto

Managing Director, Legal Department

Morgan Stanley Wealth Management

Dean Pinto’s Biography

Theresa Seys

Vice President and Chief Counsel

Ameriprise Financial, Inc.

Theresa Seys’s Biography

Sarah G. ten Siethoff

Associate Director for the Division of Investment Management’s Rulemaking Office

U.S. Securities and Exchange Commission (SEC)

Sarah G. ten Siethoff’s Biography

3:30pm – 3:50pm

Networking Break

3:50pm – 4:20pm

Participants

Ira D. Hammerman, The Honorable Hester M. Peirce

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Speaker

4:20pm – 5:10pm

An overview of the broader regulatory landscape including: prospective state regulations (e.g., Nevada, New Jersey, etc.) and private standards (i.e., the CFP fiduciary standard); prospective legal challenges to Reg BI…

An overview of the broader regulatory landscape including: prospective state regulations (e.g., Nevada, New Jersey, etc.) and private standards (i.e., the CFP fiduciary standard); prospective legal challenges to Reg BI and/or federal preemption challenges to state regulatory standards; and DOL’s prospective regulatory response to Reg BI.

Participants

Lisa Bleier, David C. Boch, David Forman, Robert McCarthy, Melanie Nussdorf

Moderator

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Panelists

David Forman

Senior Vice President & Deputy General Counsel

Fidelity Investments

Chief Legal Officer

Fidelity Brokerage Services

David Forman’s Biography

Robert McCarthy

Senior Vice President & Director of Regulatory Policy

Wells Fargo Advisors

Robert McCarthy’s Biography

Melanie Nussdorf

Partner

Steptoe

Melanie Nussdorf’s Biography

5:10pm – 5:15pm

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

5:15pm – 6:15pm

Networking Reception

Venue

WilmerHale Washington DC Office

1875 Pennsylvania Avenue, NW
Washington, DC 20006

Accreditation

CLE Credits

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants.

CLE Credit

 

Media Inquiries

Media Inquiries
Select sessions are open to the press. Please contact Lindsay Gilbride at 202.962.7390.

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.