With 2019 underway, regulatory developments governing broker-dealer and investment adviser standards of conduct continue to advance on a number of fronts. Join Eversheds Sutherland for a webcast discussing steps that broker-dealers and investment advisers 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 +
With 2019 underway, regulatory developments governing broker-dealer and investment adviser standards of conduct continue to advance on a number of fronts. Join Eversheds Sutherland for a webcast discussing steps that broker-dealers and investment advisers 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
Nevada’s proposed fiduciary regulations
Maryland's fiduciary bill
The impact of New York Insurance Regulation 187 and its influence on broker-dealer sales of annuities See less -
