As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working on associated compliance challenges.
Please join Fiduciary Governance Group’s Larry Stadulis and Sara Crovitz, along with Les Abromovitz from Foreside, and Mary Beth Constantino from Fidelity Investments, for a one hour webinar to discuss the SEC’s recent proposed amendments to the Investment Advisers Act of 1940 Advertising Rule.
Thursday, February 13, 2020
1:00 PM – 2:00 PM EST
• The Advertising Rule in Its Current Form
• Proposed Amendments
• Difficulties with the Proposals
• Possible Solutions
Register for the webinar here.
The client relationship form is, by design, limited to two pages in order to ensure brevity and clarity of disclosures. Yet many are grappling with the space limitations by using interactive tools and hyperlinks to other, lengthier documents, which brings a whole new set of questions and concerns.