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SEC Regulation Best Interest Examinations Update – How the New SEC Chair May Enforce Regulation Best Interest

With SEC Regulation Best Interest being one of the main rulemaking and regulatory initiatives of former SEC Chair Jay Clayton, the industry pondered how new SEC Chair Gary Gensler would apply Regulation Best Interest under his leadership of the agency. While we are in the very early stages of Chair Gensler’s tenure, he and the SEC Staff have started to reveal how Regulation Best Interest will be regulated and enforced going forward. CEFLI’s Joint Education Webinar, featuring James Lundy, Partner at CEFLI Affiliate Member Faegre Drinker, provided insight regarding what companies may anticipate with the SEC’s future examination and enforcement processes.

Slides | Webinar