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SEC Takes Up the Fiduciary Mantle

SEC Takes Up the Fiduciary Mantle

Join Investments & Wealth Institute to examine “Regulation Best Interest” by the Securities and Exchange Commission (SEC) in an effort to craft a quasi-fiduciary duty for brokers providing retail investment advice. The SEC’s regulatory package, part of a broader effort to reassert leadership amongst various regulators in shaping the fiduciary standard for advice-givers, also includes a new disclosure form for broker-dealers and investment advisors to help differentiate business models, title restrictions for brokers, and potential new rules for investment advisors. In addition to providing an overview of these proposals, this program will review the Department of Labor’s recently updated non-enforcement policy for retirement advice as its own once highly controversial fiduciary rule fades into regulatory history. 

Speaker | Duane Thompson, AIFA®
Duane Thompson is president and founder of Potomac Strategies with more than 20 years of advocacy work on federal and state business issues. He serves as policy consultant to the Institute and previously was managing director of the Financial Planning Association for 14 years.  Before that he served as press secretary to the late Congressman Michael Strang of Colorado, and worked in the White House Office of the Press Secretary during the Reagan Administration. He has been quoted extensively on the financial services industry in trade press and the national media and speaks frequently to trade and professional groups on Washington industry and compliance issues.

Registration & Fees (USD)

  • $50 Member
  • $75 Nonmember

Register

Continuing Education

Learners must watch the program in its entirety to earn continuing education (CE) credit. The following entities have accepted it for CE credit:

Investments & Wealth Institute®

  • 1 hour of continuing education (CE) credit for CIMA®, CPWA®, and RMASM certifications
  • Automatically uploaded to account upon completion (may take up to 24 hours to be reflected)

Expiration

This program is only available for online viewing through December 31, 2019, regardless of the date purchased.

Access Instructions

Upon successful registration, learners will receive two emails: one including a transactional receipt and a second including navigation instructions for accessing the content. Please monitor your inbox and spam folders for these communications or contact the education department at education@i-w.org for assistance.