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August 04, 2022


Reg BI Enforcement, PTE 2020-02 Day 2 and What's Next



Faegre Drinker business litigation partner David Porteous and benefits and executive compensation partner Joshua Waldbeser will present on “Reg BI Enforcement, PTE 2020-02 Day 2 and What's Next” — which includes contributions from Craig Watanabe of DFPG Investments, Mitchell Atkins of FirstMark Regulatory Solutions and Parham Nasseri of InvestorCOM — during an InvestorCOM webinar on August 4, 2022. With Prohibited Transaction Exemption (PTE) 2020-02 in effect, the panel of speakers will provide expertise on how firms can best prepare for the Financial Industry Regulatory Authority ramping up Regulation Best Interest examinations and with the Securities and Exchange Commission focusing on Reasonably Available Alternatives.

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