Marilyn Mohrman-Gillis Managing Director, Public Policy and Communications, CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC.
Recent regulatory and legislative activity in Washington, D.C. could have significant implications for financial planners and advisors as the Dodd-Frank Wall Street Reform and Consumer Protection Act is implemented. It's important for financial advisors to understand how the law, its proposed regulations and the new political dynamics in the nation's capital will impact them, their practice and how they work with their clients. This session will help sift through the jargon and the headlines, covering such issues as:
- The role of the SEC, FINRA and other regulators post Dodd-Frank
- What's next for the SEC's study on fiduciary standard
- Prospects for future regulatory recognition of the financial planning profession
- Yes, to Another Wirehouse or Regional Firm.
- Yes, Considering Independence.