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Oct 11

Proposed "Best Interest" Standard for Brokers: What Is It and Why You Need to Know LIVE Webcast

The Knowledge Group, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: Proposed “Best Interest” Standard for Brokers: What Is It and Why You Need to Know LIVE Webcast.
This event is scheduled on Friday, November 9, 2018 @ 12:00 PM - 2:00 PM (ET).

Event Synopsis:
In an effort to clarify and enhance the existing regulatory requirements for broker-dealers, the U.S. Securities and Exchange Commission (SEC) recently released its “Best Interest” standard. According to SEC, the proposed regulation is "designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products."

If adopted as proposed, the standard will require broker-dealers and persons associated with a broker-dealer to act in the best interest of a retail customer when providing recommendations to any transactions involving securities.

In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will discuss in depth the fundamentals as well as significant issues surrounding the Proposed “Best Interest” Standard for Brokers. Speakers will also identify recent trends, developments and updates surrounding this significant topic.

Key topics include:
• SEC’s “Best Interest” Standard for Brokers: An Overview
• Obligations and Compliance
• Common Red Flags
• Risks and Pitfalls
• Opportunities and Challenges
• Future Implications
• What Lies Ahead

Speakers/Faculty Panel

Tamara Seelman
Gordon & Rees LLP

Jessica L. Mackaness

Brian P. Nally

Ruth Jin, Esq.
The Jin Law Group

For an updated list of the faculty panel, please visit:

About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit:
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