Larry Stadulis, Sara Crovitz, and Alan Goldberg joined me in explaining the SEC standard of conduct release to a gathering of chief compliance officers in Chicago! We discussed a number of the key issues associated with the proposed Interpretive Release applicable to RIAs, and described our “stoplight” schematic on how broker-dealers are affected by Reg BI. We also got everyone up to speed on the various state developments. It was great spending the week here meeting so many great people.
