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Source: Securities and Exchange Commission

Washington D.C., Oct. 16, 2020 —

The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation.

The event will be webcast to the public.  No registration or pre-registration is required.  The roundtable will be publicly viewable on Monday, October 26 at 1:00 p.m. ET on SEC.gov.  Additionally, the roundtable will be recorded and archived to enable viewing at a later date.

Panelists at the roundtable will discuss initial observations on the implementation of Regulation Best Interest and Form CRS. Separately, market participants and other members of the public may continue to send interpretive questions to the Commission’s Inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov.

Agenda

Roundtable on Regulation Best Interest and Form CRS
Monday, October 26, 2020 1:00 – 3:00 p.m. ET
Webcast on SEC.gov

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

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