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NRS Fall 2019 Compliance Conference
October 15 – 18, 2019
Join NRS at our Fall 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Upcoming Events
Industry Perspectives
SEC Adopted Regulation Best Interest! What Does this Mean for Your Firm?
The SEC has adopted Regulation Best Interest (“Reg BI”) and the Form CRS Relationship Summary (“Form CRS”), both of which were proposed on April 18, 2018. In addition, the Commissioners approved SEC staff interpretations of the meanings of “fiduciary”…
SEC Regulation Best Interest: Ready or Not, Here it Comes!
Just over one year has passed since the SEC proposed Regulation Best Interest (Reg BI) in April 2018. The SEC has stated that it hopes to have the regulation finalized by the end of September 2019. Although it’s anyone’s guess what the final regulation will look like…
