Overview

Join SIFMA on Wednesday, July 10 in Washington, DC 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)

Live video webcast will also be available.

For more on Reg BI, view our Best Interest Standard Resource Center.

Regulation Best Interest Seminar

Explore the SEC's final rules governing investment advice

Registration Rates - In-Person – Until 7/10/19

  • Member $395
  • Non-Member $595

Overview

Join SIFMA on Wednesday, July 10 in Washington, DC 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)

Live video webcast will also be available.

For more on Reg BI, view our Best Interest Standard Resource Center.

Venue

WilmerHale Washington DC Office

1875 Pennsylvania Avenue, NW
Washington, DC 20006

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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

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.