Upcoming Regulation Best Interest SEC Roundtable

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Mayer Brown Free Writings + Perspectives

The Securities and Exchange Commission will hold a roundtable discussion on October 26, 2020 that will focus on Regulation Best Interest and Form CRS.  The roundtable will discuss initial observations regarding implementation.  The published agenda, which is available here, includes various members of the SEC and FINRA staffs.  Interpretative questions may be submitted in advance to the SEC’s Inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov.  Additional details regarding the webcast, which can be accessed from the SEC website, may be found here.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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