The View from Washington: A Conversation with SEC Commissioner Hester Peirce

In this episode of “The View from Washington,” Securities and Exchange Commission (SEC) Commissioner Hester Peirce and SIFMA Executive Vice President and General Counsel Ira Hammerman discuss Regulation Best Interest. The new, nationwide best interest standard was finalized in June 2019 and imposes a materially heightened standard of conduct for broker-dealers when serving retail clients.

This discussion was filmed immediately following SIFMA’s Regulation Best Interest Seminar, held in Washington, DC on July 10, 2019.

A Conversation with SEC Commissioner Hester M. Peirce

See also:

• Regulation Best Interest: Understanding the SEC’s Final Rules Governing Advice
• View from Washington: A Conversation with SEC Chairman Jay Clayton – Progress Report on Reg BI
• SIFMA’s Best Interest Standard Resource Center

Ira Hammerman is Executive Vice President and General Counsel for SIFMA.

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About The View From Washington

“The View from Washington” short video series features in-depth conversations with top financial regulatory leadership about crucial developments and big ideas with the potential to impact the markets and the industry.