NSCP Webinars: 5/9 – The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers

Don’t miss this Webinar on Wednesday, May 9 at 2:30 pm EST


On May 9th, NSCP invites you to join us for a webinar as attorneys from Eversheds Sutherland analyze the US Securities and Exchange Commission’s recently proposed changes to the investment advice standards, disclosures and interpretations for broker-dealers and investment advisers. These proposals would:

  • Require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors
  • Establish a standard of conduct for broker-dealers when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer
  • Provide an interpretation regarding the fiduciary obligations of investment advisers

This presentation will help you analyze the proposed rules, forms and standards of conduct, and the practical considerations that arise from the proposal, including:

  • What changes will broker-dealers need to make when recommending securities as a result of Regulation Best Interest
  • What operational challenges will firms face with the disclosures required under the customer or client relationship summary (Form CRS)
  • What will investment advisers need to do to differently to satisfy the SEC’s interpretation of the fiduciary obligations arising under the Advisers Act