What are the impacts of the new rule for broker-dealers, supervision,
enforcement compliance and what practitioners need to know to help their
clients. Is this the codification existing law or a new set of rights
and obligations? What will be the impact of the FINRA advisory notices regarding
the new rule? Elizabeth Page, Director of the Boston Office of FINRA
and Todd Coppi, Associate Director of the Boston Office of FINRA will discuss
the New Suitability Rule and Other Developments at FINRA.
This is inaugural event of a new committee and practitioners from all
sectors, counsel for investors and counsel for broker dealers both at firms and
in-house and regulators are welcome.