Part 3: Regulatory Challenges for Broker-Dealers with the DOL Fiduciary Rule

Please join ACA for a third webcast workshop designed to assist compliance professionals of broker-dealers in dealing with the potential regulatory challenges of meeting the new Department of Labor Fiduciary Rule. Our industry-knowledgeable panelists from ACA, Arnold & Porter Kaye Scholer LLP, and Raymond James Financial, Inc., will discuss a range of topics associated with the rule.

The webcast will explore the impact of the DOL Fiduciary Rule on the following areas:

• How we got to this point
• What needs to be done during the transition period beginning June 9, 2017
• What does the future hold for the rule and how should financial institutions respond to the uncertainty?