Please join me and my colleague, Brad Campbell, on October 12, 2017 (9:00 am pacific time/ noon eastern time) for the 22nd session of Inside the Beltway, a quarterly audiocast sponsored jointly by Drinker Biddle and Natixis.
During this session of Beltway we will discuss:
- The likelihood of a final rule extending the applicability date of the most important fiduciary exemptions to July 1, 2019.
- What’s next with the DOL and SEC for revising the fiduciary rule and the exemptions?
- The current focus of SEC examinations under the ReTIRE Initiative.
- The likely fiduciary claims against broker-dealers in FINRA arbitrations.
Joining us for this session will be Drinker Biddle partners Sandy Grannum, who will discuss possible fiduciary claims in FINRA arbitrations, and Jim Lundy, who will speak about the OCIE ReTIRE initiative and provide a brief update on the SEC’s work on a fiduciary rule.
The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.
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