July 15, 2019

The SECs New Rulemaking Package- Podcast

Annual Compliance Program Reviews
SEC, new rulemaking package, form CRS, regulation best interest, standard of conduct, investment adviser, broker-dealer

On April 18, 2018, the Securities and Exchange Commission (SEC) proposed a set of rules and an interpretation to address confusion among retail investors and clarify the standards of conduct applicable to investment advisers and broker-dealers, while simultaneously preserving investors’ access to a range of products and services at a reasonable cost. After certain modifications to the SEC’s proposal based on feedback from investors and commenters, on June 5, 2019, the SEC voted in favor to adopt a final package of rules, amendments, and interpretations. In this podcast, attorney Samantha Bonamassa provides an overview of this rulemaking package.

How Coast to Coast Compliance Can Help.

With our comprehensive service offerings, we can tailor a compliance program if you need Form ADV filings, SEC registration services, Annual review requirements and more. Check out our Blog Post related to this podcast here.