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Webinar: The Proposed SEC Interpretation on the Standard of Conduct for Investment Advisers and Regulation Best Interest

Attorneys from Stark & Stark recently discussed the Securities and Exchange Commission’s (“SEC”) recent rule proposals on Regulation Best Interest and the SEC’s interpretation of the standard of care for registered investment advisers. The webinar also discussed proposed Form CRS (Client Relationship Summary).  Below are copies of the PowerPoint presentation, a link to view a copy of the presentation, links to the proposed rules and a hypothetical Form CRS, and a link to join our mailing list.  Should you have any questions about the presentation or more generally about investment adviser regulation, do not hesitate contacting us.

PowerPoint Presentation

Webinar Recording

Handouts

  1. Hypothetical Form CRS (For Illustrative Purposes Only)
  2. Proposed Rule – Regulation Best Interest
  3. Proposed Rule – Proposed Commission Interpretation Regarding Standard of Conduct for Investment
  4. Proposed Rule – Form CRS Relationship Summary – Amendments to Form ADV – Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles

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