NYSBA Business Law Section Members: Free
SEC Adoption of Regulation Best Interest and Impact of Sponsorship in Fostering Diversity & Inclusion
For the first topic segment, experienced faculty will discuss the new requirements for broker-dealers under Regulation Best Interest, adopted by the SEC on June 5, 2019, requiring broker-dealers to act in the best interest of their retail customers when making a recommendation of a securities transaction. The new Form CRS, a succinct, brief, plain English summary to be delivered by registered investment advisers and broker-dealers to their retail customers, will also be covered. The program will cover the SEC’s concurrent interpretation reaffirming and clarifying the fiduciary duty that registered investment advisers owe their clients and also the SEC’s interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Investment Advisers Act of 1940.
The second half of the program will focus on sponsorship as a key to leadership development for women and diverse attorneys and how to attract sponsors in the age of #metoo.” The program will cover the differences between mentoring and sponsoring, how to attract sponsors and develop a mutual benefit relationship, given #metoo and the “Pence Effect?” and success and ‘war’ stories on attracting and developing sponsors.
Co-Sponsored by the Business Law Section and the Committee on Continuing Legal Education
Live CLE Program & Dinner
2.0 MCLE Credits: 1.0 Areas of Professional Practice; 1.0 Diversity Inclusion & Elimination of Bias
NYSBA Business Law Section Member: Free | NYSBA Member: $25
*Optional Dinner preceding the program: $45
- SEC’s Adoption of Regulation Best Interest and Interpretation of an Investment Adviser’s Fiduciary Duty
- Sponsorship is the Key to Leadership Development of Women and Diverse Attorneys: What It Means and How to Attract Sponsors in the Age of #MeToo
Jennifer Greiner, Esq. Grenier Consulting Group, NYC
Bradley Berman, Esq., Mayer Brown, LLP, NYC
Anna Pinedo, Esq., Mayer Brown, LLP, NYC
Stephanie Monaco, Esq., Mayer Brown, LLP, NYC
Tarnetta Jones, Esq., Thompson Hine, LLP, NYC
Nikki Nielson, Esq., Milbank, LLP, NYC
Joi Y. Bourgeois, Esq., formerly with Orrick Herrington & Sutcliffe, LLP, NYC
Newly Admitted Attorneys: To receive skills credit, newly admitted attorneys must take accredited transitional CLE courses in traditional live classroom settings that have been approved by the CLE Board for use by newly admitted attorneys. For more information about the CLE Rules, please go to www.nycourts.gov/Attorneys/CLE.
Out of State Accreditation: This program has also been approved for MCLE credit by the State Bar of California, the Pennsylvania Continuing Legal Education Board and the Board of Continuing Legal Education of the State of New Jersey. If you require MCLE credit in other states, we can provide you a Uniform MCLE Form.
Partial Credit for Program Segments Not Allowed: Under the New York State Continuing Legal Education Board Regulations and Guidelines, attendees at CLE programs cannot get MCLE credit for a program segment (typically, a lecture or panel, of which there are usually several in a program) unless they are present for the entire segment. Those who arrive late, depart early, or are absent for any portion of the segment WILL NOT receive credit for that program segment.
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If you have any questions about this program, please contact staff attorney Sally Bratten.