MMI NetMeeting - SEC Adoption of Rules Governing Retail Advice

June 13, 2019 | NetMeeting

On June 5, 2019, the SEC voted to adopt its long-awaited Regulation Best Interest rule package governing retail advice. The new standards of conduct include the adoption of Reg BI and Form CRS, as well other other guidance regarding fiduciary duty.

To provide preliminary analysis and interpretation of the rule package and its implications for broker-dealer operations, MMI has engaged our partners at Morgan Lewis to join us for a special NetMeeting this Thursday, June 13 at 11:00 AM ET.

Steve Stone,
 Partner, Morgan, Lewis & Bockius, LLP
Jen Klass, Partner, Morgan, Lewis & Bockius, LLP
Brian Baltz, Associate, Morgan, Lewis & Bockius, LLP
Susan DiCicco, Partner, Morgan, Lewis & Bockius, LLP          


  • This call is for industry professionals at MMI member firms only. It is closed to the media and non-MMI members.
  • We encourage you to submit questions in advance when you register for the webinar. We will not be able to take questions during the live webinar.

We hope you can join us at 11:00 AM ET this Thursday, June 13. Please contact MMI with any questions at (646) 868-8500 or