SEC & DOL Standard of Conduct Rulemakings – Present & Future Considerations
Governance of broker-dealer and investment adviser recommendations remains in flux by the SEC and DOL. On the SEC side, Regulation Best Interest is in effect, but its future remains unclear, whereas the DOL’s new investment advice rulemaking and exemption may also be vulnerable under the new administration. Lawrence Stadulis and George Michael Gerstein, Co-Chairs of Stradley’s Fiduciary Governance Group, will discuss these rulemakings and what the future might portend.
Forum webinars are closed to the media.