Oct. 26, 2020 | 1:00 pm ET

Join The Securities and Exchange Commission for a virtual roundtable discussion with the Commission staff and FINRA about initial observations on Regulation Best Interest and Form CRS implementation.

The event will be webcast to the public on SEC.gov. Additionally, the webcast will be recorded and archived to enable viewing at a later date. Market participants and other members of the public may continue to send interpretive questions to the Commission’s Inter-Divisional Standards of Conduct Implementation Committee.

No registration or pre-registration is required.


1:00 p.m. Opening Remarks

  • Jay Clayton, Chairman, SEC

1:15 p.m. Panel One Regulation Best Interest – Issues and Observations

  • John Polise, Associate Director, Broker-Dealer and Exchange Examination Program (BDX), Office of Compliance Inspections and Examinations (OCIE)
  • Lourdes Gonzalez, Assistant Chief Counsel for Sales Practices, Division of Trading and Markets
  • Rina Hussain, Assistant Director, BDX, OCIE
  • Bill St. Louis, Senior Vice President, Member Supervision, FINRA

2:00 p.m. Panel Two: Form CRS – Issues and Observations

  • Jim Reese, Chief Risk and Strategy Officer, OCIE
  • Melissa Gainor, Assistant Director, Division of Investment Management
  • Alicia Goldin, Senior Special Counsel, Division of Trading and Markets
  • Jim Wrona, Vice President & Associate General Counsel, FINRA

2:45 p.m. Concluding Remarks

  • Peter Driscoll, Director, Office of Compliance Inspections and Examinations



U.S. Securities and Exchange Commission
100 F Street Northeast
Washington, DC 20549
United States