THIS COURSE IS FOR FPA MEMBERS ONLY

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The How Do You Comply learning series, exclusively for FPA members, includes video presentations and resources created by leading legal and financial industry compliance and regulations experts to explain, explore and unpack what the SEC rule package and the CFP Board's Code of Ethics and Standards of Conduct mean specifically for financial planners. 


In this introductory presentation, the Groom Law Group gives an overview of each of the SEC's final rules: Regulation Best Interest, Form CRS Relationship Summary and Form ADV Amendments, Commission Interpretation Standard of Conduct for Investment Advisers, and Commission Interpretation Broker-Dealer Exclusion.

 

Course Information
Course Date:
August 05, 2019
An Introduction to the SEC's Investment Advice Rule Package (How To Comply Series)
Speaker Information
David N. Levine, Esq.  [ view bio ]
Kevin L. Walsh, Esq.  [ view bio ]
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FPA Member Price:$0.00