4:00 – 6:00 p.m. Discussion and Beverages
Join us for a roundtable discussion on the Department of Labor's Fiduciary Rule and the actions broker-dealer firms and RIAs should be taking to become operationally compliant by the first implementation date of April 10, 2017. We will also discuss the SEC's and FINRA's National Senior Investor Initiative and the practices broker-dealer and investment adviser firms should be implementing to address the particular needs and circumstances of senior investors.
Continuing Education Credit:
This program is pending CLE credit approval in the state of Tennessee.
RSVP to attend by Wednesday, November 2.