SIFMA Webinar: SEC Rule 192 and Municipal Securities
Register to join us and hear from a panel of experts as they review SEC Rule 192, including:• Definition of…
Regulation Best Interest Seminar
Overview
Join SIFMA on Wednesday, July 10 for an in-depth, half-day seminar to understand the SEC’s final Regulation Best Interest.
The afternoon program will feature a keynote address and expert panels, providing insight on:
- Regulation Best Interest
- Form CRS
- SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act
- What’s Next? (including state-level fiduciary proposals, DOL action and more)
Not able to attend the seminar in-person? Discover the attendee experience here
Featured Speakers
Regulation Best Interest Seminar
Explore the SEC's final rules governing investment advice
Registration Closed
Overview
Join SIFMA on Wednesday, July 10 for an in-depth, half-day seminar to understand the SEC’s final Regulation Best Interest.
The afternoon program will feature a keynote address and expert panels, providing insight on:
- Regulation Best Interest
- Form CRS
- SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act
- What’s Next? (including state-level fiduciary proposals, DOL action and more)
Not able to attend the seminar in-person? Discover the attendee experience here
Featured Speakers
Register
| Registration Rates | $395 |
|---|---|
| Registration Rates - Live Webcast | $395 |
| Registration Rates | $595 |
|---|---|
| Registration Rates - Live Webcast | $595 |
| Registration Rates | $175 |
|---|---|
| Registration Rates - Live Webcast | $175 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $395 | $595 | $175 |
| Registration Rates - Live Webcast | $395 | $595 | $175 |
Program
12:00pm – 6:15pm
Registration Desk Hours
12:00pm – 12:45pm
Networking Lunch
12:45pm – 12:55pm
Participants
Kenneth E. Bentsen, Jr.
Speaker
12:55pm – 1:40pm
Participants
Yoon-Young Lee, Dalia Blass, Brett W. Redfearn
Moderator
Panelists
1:40pm – 2:40pm
A deep dive into the legal, regulatory and operational requirements of the final rule, including a discussion of implementation challenges, lingering interpretive questions, and examination and enforcement expectations.
A deep dive into the legal, regulatory and operational requirements of the final rule, including a discussion of implementation challenges, lingering interpretive questions, and examination and enforcement expectations.
Participants
Stephanie Nicolas, Kevin Carroll, Evan Charkes, Robert L.D. Colby, Emily Westerberg Russell
Moderator
Panelists
2:40pm – 3:30pm
A discussion of the prospective value-add of Form CRS and anticipated CRS implementation challenges, and an analysis of what is new and different in the SEC’s most recent interpretive guidance,…
A discussion of the prospective value-add of Form CRS and anticipated CRS implementation challenges, and an analysis of what is new and different in the SEC’s most recent interpretive guidance, and its prospective practical impact on the industry.
Participants
Amy Doberman, Christopher Gilkerson, Dean Pinto, Theresa Seys, Sarah G. ten Siethoff
Moderator
Panelists
3:30pm – 3:50pm
Networking Break
3:50pm – 4:20pm
Participants
Ira D. Hammerman,
Moderator
Speaker
4:20pm – 5:10pm
An overview of the broader regulatory landscape including: prospective state regulations (e.g., Nevada, New Jersey, etc.) and private standards (i.e., the CFP fiduciary standard); prospective legal challenges to Reg BI…
An overview of the broader regulatory landscape including: prospective state regulations (e.g., Nevada, New Jersey, etc.) and private standards (i.e., the CFP fiduciary standard); prospective legal challenges to Reg BI and/or federal preemption challenges to state regulatory standards; and DOL’s prospective regulatory response to Reg BI.
Participants
Lisa Bleier, David C. Boch, David Forman, Robert McCarthy, Melanie Nussdorf
Moderator
Panelists
5:10pm – 5:15pm
Participants
Ira D. Hammerman
Speaker
5:15pm – 6:15pm
Networking Reception
2:15pm – 2:45pm
Networking Break
Venue
WilmerHale Washington DC Office
1875 Pennsylvania Avenue, NW
Washington, DC 20006
Sponsorship
Questions? Contact Diana Serri at 212.313.1258.
Sponsors
Event Host
SIFMA's Strategic Partners
Accreditation
CLE Credits
SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants.
Media Inquiries
Media Inquiries
Select sessions are open to the press. Please contact Lindsay Gilbride at 202.962.7390.
Media Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official press policy
Terms and Conditions
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.
Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.
Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.