As 2018 concludes, regulatory developments governing broker-dealer and adviser standards of conduct continue to advance on a number of fronts. Join Eversheds Sutherland for a webcast discussing steps investment advisers and broker-dealers should take as they begin to plan for the patchwork of best interest standards. The webcast will focus on:
The SEC's proposed standards for broker-dealers and investment See more +
As 2018 concludes, regulatory developments governing broker-dealer and adviser standards of conduct continue to advance on a number of fronts. Join Eversheds Sutherland for a webcast discussing steps investment advisers and broker-dealers should take as they begin to plan for the patchwork of best interest standards. The webcast will focus on:
The SEC's proposed standards for broker-dealers and investment advisers
The impact of New York Insurance Regulation 187 and its influence on broker-dealer sales of annuities
State securities and insurance developments – including the NAIC Annuity Suitability rule revisions and state securities developments in Nevada and New Jersey
Possible DOL rulemaking See less -
