SL04 - Broker-Dealer Standards of Conduct

Date/Time: 
10/22/2019 - 3:15pm to 10/22/2019 - 4:30pm
Room: 
Brazos EF

Both the SEC and the DOL have considered what standard should apply to broker-dealer conduct.  After the DOL rule was vacated, the SEC proposed Regulation Best Interest, which is in the process of being adopted.  Concurrently, states are considering whether they should adopt additional standard for brokers doing business within the state.  This panel will examine the content and status of the SEC and DOL rules, as well as discuss various state efforts in the area.