Regulation Best Interest: How Will Reg BI Shape Industry Practices?

Date

2020-05-29

Authors

Burns, Jim
Kahl, Dan
Hammerman, Ira
Selman, Tom
Rydzewski, Leo

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Publisher

Salem Center

Abstract

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Description

A discussion of how the financial services industry will need to adapt to sweeping new rules governing the giving of investment advice. Moderator – Jim Burns, Partner, Willkie Farr & Gallagher • Dan Kahl, Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, SEC • Ira Hammerman, General Counsel, SIFMA • Tom Selman, EVP Regulatory Policy, FINRA • Leo Rydzewski, General Counsel, CFP Board

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