The Securities and Exchange Commission announced July 10 the agenda for its premiere Seniors Summit on July 17 at SEC headquarters in Washington, D.C. The Commission also said it will release at the Summit an NASD Investor Education Foundation study on why the elderly are victimized by fraud. Among those testifying at the summit will be Patricia Struck, the president of NASAA, the state securities regulators assocation; NASD Vice Chairman Mary Schapiro; Linda Thomsen and Lori Richards of the SEC; and officials from the AARP and academia. A live audio and video Webcast of the Summit will be available at www.sec.gov.
Access complimentary resources from Cambridge Investments to help navigate the fiduciary rule changes.
If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.
This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.
Sep 27, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 20, 2016
This webcast will review the key aspects of the amendments and the steps that funds and intermediaries can take in order to comply with the...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.