Securities Regulation Committee Business Law Section Meeting

New York State Bar Association

09/19/2017

Capital Markets, Banking + Financial Services, Compensation, Benefits + ERISA, Financial Institutions + Financial Services, Financial Services, and Investment Management

Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, NY 10036-3522

Anna T. Pinedo

Anna T. Pinedo

Speaking Engagement

Partner Anna Pinedo will lead a discussion entitled “The Securities and Exchange Commission and a Fiduciary Standard.” In recent months, commentators and practitioners have focused principally on the first phase of the Department of Labor's ("DOL") new fiduciary rule ("Fiduciary Rule") and have speculated about the fate of the rule. During the presentation we will focus on the SEC's original charge under the Dodd-Frank Act to consider the standard of care applicable to broker-dealers, the SEC study, recent statements by SEC representatives regarding the DOL Fiduciary Rule and the actions we might anticipate.

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