A cornerstone of any profession is the willingness of those in the profession to have their voices heard on those policies that impact them, their businesses and their clients. Join our panel of advocacy experts and FPA volunteers that represent the FPA Member Advocacy Council (FPA MAC), and FPA Legislative and Regulatory Issues Committee (LRIC) as they will discuss how these groups participated in organizing and composing the Financial Planning Coalition’s public comment on the proposed SEC regulatory package. This panel discussion incorporates August's regulatory update and fiduciary theme of the Journal of Financial Planning. It will include an audience Q and A, and be moderated by an FPA volunteer.

Level of Complexity: Overview

Course Objectives
  • Discover the impact of the SEC proposed regulatory package on investment advisers and broker-dealers
  • Identify elements of the document that is being proposed as a mandatory requirement by the SEC
Course Information
Date Presented:
August 29, 2018 2:00 PM Eastern
1 hour
FPA Member Price:
Non-Member Price:
Journal in the Round: Voices of the Profession on SEC Proposed Rules
Speaker Information
Josephine Colacci, Esq.  [ view bio ]
Chris Draughon, CFP  [ view bio ]
James Lee, CFP  [ view bio ]
Individual topic purchase: Selected
Financial Planning Association
CFP CE: 1.00
This course is no longer available for purchase.