Welcome to the Broker-Dealer Law Blog’s Presentation section, a list webinars and audiocasts to help broker-dealers to navigate litigation, regulatory, compliance and fiduciary issues.

July 24, 2018

  • An update on the legal and practical implications of the Fifth Circuit fiduciary rule decision.
  • The DOL/IRS non-enforcement policy and what it means to advisors.
  • Practical experience with the SEC’s Share Class Selection Disclosure Initiative.
  • The SEC’s proposed “Interpretation” of the standard of care for RIAs and why it matters now.
  • The status of the New York proposal for a new standard of care for sales of insurance and annuities.

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April 19, 2018

  • Discussions from the April 18 SEC meeting.
  • Issues from a securities law perspective.
  • Potential impact on fiduciary and prohibited transaction issues for plans and IRAs.

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January 30, 2018

  • Confirmation of the new DOL Assistant Secretary for the EBSA and what that means for changes to the fiduciary rule.
  • Confirmation of the new SEC Commissioners and what that means for a securities law fiduciary rule.
  • Experience with the new fiduciary rule and what problems we are seeing.
  • Status of SEC Examination Priorities for 2018.
  • Update on state fiduciary developments.

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