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2019 FINRA Regulation Best Interest Conference


8:00 a.m. – 4:45 p.m.


8:00 a.m. – 9:00 a.m.

Networking Breakfast

9:00 a.m. – 9:05 a.m.

Welcome Remarks

9:05 a.m. – 10:00 a.m.

Regulation Best Interest: Understanding Your Disclosure, Standard of Care, Conflicts of Interest and Compliance Obligations

Reg BI imposes a number of new obligations on broker-dealers when making securities or investment strategy recommendations to retail customers. Panelists discuss the new requirements and effective practices to help broker-dealers manage their Reg BI obligations.

10:00 a.m. – 10:15 a.m.

Networking Break

10:15 a.m. – 11:00 a.m.

Form CRS: What You Need to Know

Join panelists as they discuss Form CRS, its impact on the industry and effective practices.

11:00 a.m. – 11:15 a.m.

Networking Break

11:15 a.m. – 12:15 p.m.

Issues for Dual Registrants

This session addresses issues that are especially important to firms registered as both broker-dealers and investment advisers. These issues include the SEC’s June 2019 investment adviser interpretive releases and compliance with Reg BI, Form CRS and the fiduciary duty of investment advisers.

12:15 p.m. – 1:15 p.m.

Networking Lunch

1:15 p.m. – 2:15 p.m.

How Will Reg BI and Form CRS Affect Your Interactions With Clients?

This panel considers practical impacts of Reg BI and Form CRS on how broker-dealers connect with their customers.

2:15 p.m. – 2:30 p.m.

Networking Break

2:30 p.m. – 3:30 p.m.

Fireside Chat

3:30 p.m. – 3:45 p.m.

Networking Break

3:45 p.m. – 4:40 p.m.

A Conversation With FINRA Examiners and the SEC’s Office of Compliance Inspections and Examinations

Attend this session to hear from OCIE and FINRA staff about how they intend to examine and inspect for compliance with Reg BI, including a discussion of implementation challenges.

4:40 p.m. – 4:45 p.m.

Closing Remarks

4:45 p.m.

Conference Adjourns