Practical Workshop on Complying With Regulation Best Interest

Hosted by Katten

Location, or Event type:

Practical Workshop on Complying With Regulation Best Interest

Webinar, Hosted By Katten


Thursday, April 23, 2020 - 7:00 AM - Thursday, April 23, 2020 - 8:00 AM


Regulation Best Interest — The SEC and FINRA are coming! Join Katten attorneys for a practical discussion of how best to comply with SEC Rules on Regulation Best Interest and Form CRS by the SEC’s Compliance date of June 30 — which apparently will not be delayed — and subsequent inspections by the SEC and FINRA to evaluate compliance efforts.

Michael Foley

Special Counsel
Financial Markets and Funds

Susan Light

Partner
Financial Markets and Funds

Richard Marshall

Partner
Financial Markets and Funds

 

QUESTIONS

Please contact Katten Webinar Support.

 

This program is intended for primarily a lawyer audience. Katten is an accredited provider of MCLE in Illinois and California. Katten has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. This program is presumptively accredited for 1 General credit (IL/CA) and 1 CLE credit in Professional Practice (NY), subject to review of final presentation materials and attendance documentation. New Jersey credit may be available via reciprocity with New York. This program is suitable for non-transitional attorneys only. Our firm is not accredited for any other jurisdictions or professional accreditations; however, we will make agendas, speaker biographies and presentation materials (contingent upon speaker consent) available to those attorneys who wish to file an individual CLE application in their licensed jurisdiction. All verification forms (for remote access attendees) must be returned to Katten within 10 business days of the program date or credit will not be issued

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