Join the contributors of September's Journal of Financial Planning, Kevin L. Walsh and David N. Levine with Groom Law Group, as they continued to discuss the SEC's new rule package and main components of Reg BI. During this online, interactive roundtable, Walsh and Levine explained how to meet the best interest standard through the component obligations, how the package impacts financial planners and their clients, and more. This program included an audience Q&A led by Raymond Benton, CFP®, CRPC, EA, Journal in the Round moderator and FPA member.

Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP® professionals or unfamiliar with subject.

Course Objectives
  • Discuss the SEC's new rule package and main components of Reg BI.
  • Examine the various components of the SEC's investment advice rule package to determine how best to comply with them, per the effective date of June 30, 2020.
  • Demonstrate an understanding of how the SEC's Regulation Best Interest impacts the work of broker-dealers and investment advisers.
Course Information
Date Presented:
September 25, 2019 2:00 PM Eastern
1 hour
FPA Member Price:
Non-Member Price:
Journal in the Round: Deconstructing the SEC's New Rule Package
Speaker Information
Raymond Benton, CFP, CRPC, EA  [ view bio ]
David N. Levine, Esq.  [ view bio ]
Kevin L. Walsh, Esq.  [ view bio ]
Individual topic purchase: Selected
Financial Planning Association
CFP CE: 1.00
FPA Member Price:$0.00
Non-Member Price:$19.00