BO06 - Regulatory Changes to the Investment Advice Industry

Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
Divide

This session will focus on new rules and regulations which affect investment advice. We will review new FINRA and SEC rules (other than those governing the arbitration process), and will provide an overview and update on the Department of Labor’s fiduciary duty rule.