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
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
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.
T. Pinedo Partner
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.
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
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.