Reg Rollbacks: What to Expect From the SEC, DOL and Congress in the 2nd Half of 2021

Broadridge

As the Biden Administration wraps up its initial work filling key agency posts, pension and wealth advisers should expect to see a plethora of new rule proposals coming through the regulatory pipeline.  Those closely following the Washington scene may recognize some of these initiatives as regulatory ‘comebacks’ since many of the rules that fiduciary experts Blaine Aikin, AIFA®, CFP®, CFA and Duane Thompson, AIFA® will cover are familiar regulatory territory.  Some of the rollbacks to be reviewed are major revamps of rules governing ESG investing and conflicted investment advice.  Attendees also will get the latest on pending retirement legislation, SEC plans for enforcing Regulation Best Interest, and the ongoing wave of ERISA class-actions affecting the pension advice sector.  Please join Aikin and Thompson on July 22 as they reprise the turbid Washington scene and offer insights into how these policy initiatives may affect the fiduciary standard governing your practice.

Learning Objectives:

• Recognize latest developments in law and regelation affecting the fiduciary standard
• Recognize actions advisors and practitioners should take to prepare and comply with new requirements.

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