Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also look at new developments in the willfulness standard which is frequently applied in enforcement actions brought by both the SEC and FINRA.

CLE Credit + On Demand: This webinar is pending approval for 1 hour of CLE credit in Illinois, Kentucky, Ohio, and Pennsylvania for the live and on-demand viewings.

For an optimal at-home viewing experience, it is highly recommended that viewers watch directly from their home WiFi connection and log out of any work terminal.

Questions? Contact:
Abi Humphrey, Events Manager
ahumphrey@ulmer.com
216.583.7302