SL 02 State Issues and Initiatives in Reg BI World

10/26/2021 - 12:40pm to 10/26/2021 - 1:55pm

The effect of reg BI on audits and exams. Are changes to state laws and regulations needed and/or contemplated? Is coordination with FINRA and SEC in process and is it working? Is NASAA considering a model Rule similar to Reg BI or a new fiduciary model act?

This session will be recorded for replay by Members fully registered to attend the PIABA Annual Meeting.