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SEC Proposed Standards of Conduct for Retail Advice

Morgan Lewis

May 9, 2018
Recorded Online

Join us for a critical look at the recently proposed Securities and Exchange Commission rules and interpretive guidance governing advice to retail investors.

Topics Include:

  • The potential impact of the proposals on different broker-dealer and investment adviser business models
  • Interpretive questions and areas of focus during the comment period
  • Our thoughts about how this rulemaking may proceed in the current political environment


  • Chris Cox, President, Morgan Lewis Consulting, Partner, Morgan, Lewis & Bockius LLP
  • Jennifer L. Klass, Partner
  • Steven W. Stone, Partner
  • Brian J. Baltz, Associate

Continue by clicking on the following link:

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