On October 16th, the SEC announced the agenda and panelists for the Monday, October 26th roundtable which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA). The event will feature the two groups presenting panels discussing initial observations on Regulation Best Interest and Form CRS.
The event is free and open to the public. It begins at 1:00 p.m. ET and requires no registration or pre-registration. The roundtable will be webcast via sec.gov and will be recorded and archived for later viewing. Market participants and other members of the public may continue to submit questions related to the roundtable topics to the SEC’s Inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov.
Roundtable on Regulation Best Interest and Form CRS Monday, October 26, 2020 1:00 – 3:00 p.m. ET
Agenda
1:00 p.m. — Opening Remarks
- Jay Clayton, Chairman, SEC
1:15 p.m. — Panel One: Regulation Best Interest – Issues and Observations
- John Polise, Associate Director, Broker-Dealer and Exchange Examination Program (BDX), Office of Compliance Inspections and Examinations (OCIE)
- Lourdes Gonzalez, Assistant Chief Counsel for Sales Practices, Division of Trading and Markets
- Rina Hussain, Assistant Director, BDX, OCIE
- Bill St. Louis, Senior Vice President, Member Supervision, FINRA
2:00 p.m. — Panel Two: Form CRS – Issues and Observations
- Jim Reese, Chief Risk and Strategy Officer, OCIE
- Melissa Gainor, Assistant Director, Division of Investment Management
- Alicia Goldin, Senior Special Counsel, Division of Trading and Markets
- Jim Wrona, Vice President & Associate General Counsel, FINRA
2:45 p.m. — Concluding Remarks
- Peter Driscoll, Director, Office of Compliance Inspections and Examinations
Sources:
SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS (sec.gov)
