On April 19, the SEC issued proposed regulations on a best interest standard for broker dealers in dealing with retail customers, a proposed interpretation of the standard for investment advisers, and a proposed rule on disclosures and communications. The standards in the SEC rules overlap with the those in the Labor Department's fiduciary rule, which was vacated by a March decision of the Fifth Circuit.
This very timely program will explain the new SEC rules as they affect employee benefit plans, plan sponsors and participants, and advisers and service providers to plans, and will provide an update on the status of the Labor Department’s fiduciary rule and its interaction with the SEC rules.
Moderator: Alan Tawshunsky, Tawshunsky Law Firm PLLC, Washington, DC
- Commissioner Robert J. Jackson, Jr., U.S. Securities and Exchange Commission, Washington, DC
- Andrew L. Oringer, Dechert LLP, New York, NY
- Erin M. Sweeney, Miller & Chevalier Chartered, Washington, DC
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