Setting the Standard: A first look at the SEC's new conduct rules for broker-dealers and RIAs

Thursday, July 11, 2019 4:00 p.m. ET
Join Skip Schweiss of TD Ameritrade Institutional as well as Gail Bernstein, Sarah Buescher and Sanjay Lamba of the Investment Adviser Association to gain a better understanding of the new SEC rules. Attendees will learn about Regulation BI, the SEC’s interpretation of RIA standards, new disclosure requirements, and what it all means for RIAs.

Attend this webcast to learn more about:

  • Key provisions of Regulation BI, new RIA conduct standards, and new SEC disclosure requirements
  • New obligations of RIAs and the key dates when firms must be in compliance
  • How new broker-dealer and RIA standards may affect the competitive landscape

Webcasts are designed for an investment professional audience, primarily registered investment advisors (RIAs), provided for general illustrative and educational purposes only and should not be considered an individualized recommendation or advice for any specific strategy or to buy, hold or sell any specific security. Past performance is no guarantee of future results.

TD Ameritrade is not responsible for information, opinions or services provided by third parties. The material, views and opinions expressed in the presentations are solely those of the presenter(s) and may not be reflective of those held by TD Ameritrade, Inc. TD Ameritrade makes no representations or warranties with respect to the accuracy or completeness of information provided.

Enrollment does not guarantee that you can join the live meeting due to limited event seats. 

TD Ameritrade Institutional, Division of TD Ameritrade, Inc., FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. © 2019 TD Ameritrade.