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SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS

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 [email protected] 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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