Regulation Best Interest: Understanding the New Rules
Date
2020-05-29
Authors
Blizzard, Diane
Gilkerson, Christopher
Morton, Jennifer
Russell, Emily
ten Siethoff, Sarah
Journal Title
Journal ISSN
Volume Title
Publisher
Salem Center
Abstract
Department
Description
A review and discussion of Regulation Best Interest, Form CRS, and interpretive guidance to broker dealers and investment advisers.
Moderator – Diane Blizzard, former Associate Director, SEC (retired)
• Christopher Gilkerson, General Counsel, Charles Schwab
• Jennifer Morton, Partner, Shearman & Sterling
• Emily Russell, Chief Counsel, Division of Trading and Markets, SEC
• Sarah ten Siethoff, Associate Director, Division of Investment Management, SEC