Overview

The U.S. Securities and Exchange Commission (SEC) has confirmed its intention to maintain the June 30th Regulation Best compliance date.

With that date fast approaching, we invite you to join a SIFMA Webinar, hosted by the SIFMA C&L Society, on Tuesday, April 28th from 1:00 PM – 2:30 PM EDT to learn more about:

  • Complying with the new standard of care obligation
  • Making best interest recommendations
  • Demonstrating good faith efforts to comply in light of COVID-19
  • Managing compliance and supervisory challenges

Featured Speakers

SIFMA Webinar Series

Webinar: SEC Regulation Best Interest

Date

April 28, 2020

Location

Virtual

Hosted by

SIFMA C&L Society

Overview

The U.S. Securities and Exchange Commission (SEC) has confirmed its intention to maintain the June 30th Regulation Best compliance date.

With that date fast approaching, we invite you to join a SIFMA Webinar, hosted by the SIFMA C&L Society, on Tuesday, April 28th from 1:00 PM – 2:30 PM EDT to learn more about:

  • Complying with the new standard of care obligation
  • Making best interest recommendations
  • Demonstrating good faith efforts to comply in light of COVID-19
  • Managing compliance and supervisory challenges

Featured Speakers

Accreditation

CLE CreditSIFMA 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.

Webinar attendees will be eligible for 1.5 CLE Credit hours. When registering for the webinar, please select the box for CLE Credit. Attendance must be certified by each registrant seeking CLE Credits by answering the 4 questions displayed throughout the webinar. CLE Credit cannot be certified after the webinar adjourns.

 

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

 

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.

Substitutions
Webinar 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.