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Title: Proposed Regulation Best Interest Rule and Related Developments

Date: Wednesday, November 14, 2018

 (After Wednesday, November 14, 2018 - Available On Demand)

Time: 1:00 PM - 2:00 PM EDT

Duration: 1 hour 

Credits: 1 Live CLE

CLE Webinar - Proposed Regulation Best Interest Rule and Related Developments

Wolters Kluwer Legal and Regulatory is proud to partner with Mayer Brown

Wolters Kluwer thought leaders are pleased to join Daniel Nathan, a Partner, Orrick with a combined 25 years as a senior enforcement official with the SEC, CFTC, and FINRA and Anna Pinedo, a Partner in Mayer Brown’s New York office and a member of the Corporate & Securities practice, to explore Proposed Regulation Best Interest Rule and Related Developments. 

Key discussion topics will include:

  • Overview of the proposed regulation;
  • Principal areas of comment;
  • What we can anticipate in terms of timeline and process and what firms can do now;
  • FINRA’s proposed amendments to quantitative suitability; and
  • State fiduciary rules.
Space is limited for this exclusive complimentary CLE approved webinar. CLE credits are only offered for live attendance and are complimentary.

Wolters Kluwer Legal & Regulatory U.S. is pleased to partner with Above the Law for CLE accreditation.*  Upon the conclusion of each webinar an informal certificate of completion will be issued by Wolters Kluwer Legal & Regulatory U.S. Attendees will also receive an official certificate via email from Above the Law's third-party CLE provider, Marino Law. 

*CLE available for NY, NJ, and CA. A Uniform Certificate of Attendance for CLE credit will be issued for all other states. 

Featured speakerS:

Anna T. Pinedo

Anna Pinedo is a partner in Mayer Brown’s New York office and a member of the Corporate & Securities practice. She concentrates her practice on securities and derivatives. Anna represents issuers, investment banks/financial intermediaries and investors in financing transactions, including public offerings and private placements of equity and debt securities, as well as structured notes and other hybrid and structured products. 

In the derivatives area, Anna counsels a number of major financial institutions acting as dealers and participants in the commodities and derivatives markets. She advises on structuring issues as well as on regulatory issues, including those arising under the Dodd-Frank Act. 

David Nathan
Partner, Orrick

Daniel Nathan uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators. With a combined 25 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country’s leading regulatory and enforcement authorities, Dan is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators.

Daniel’s intimate knowledge of broker-dealer regulation provides clients facing SEC or FINRA examinations and enforcement investigations with experienced counsel related to broker-dealer supervisory procedures, sales practices, anti-money laundering, ETF regulation, product disclosure and supervision, and securities and broker registration. His extensive experience includes the JOBS Act and Dodd-Frank Act, and he has led extensive efforts to help foreign banks establish programs for complying with the Volcker Rule. He also represents individuals and entities facing investigations by the CFTC or derivatives exchanges.