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April 12, 2018

By: Steven E. Saltzman

Wednesday! Wednesday! Wednesday! Get Ready for the Biggest SEC Open Meeting of 2018! Next Wednesday, Auditorium LL-002 at SEC headquarters is going to EXPLODE with excitement! When three of the hottest “matters to be considered” related to the SEC fiduciary proposal will be discussed, including whether to propose new and amended rules and forms to require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors!!! whether to propose a rule to establish a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer!!! and, whether to propose a Commission interpretation of the standard of conduct for investment advisers!!! It’s gonna be non-stop action starting at 3:30pm eastern! Watch as the SEC heats things up in the Auditorium LL-002 at SEC headquarters! And don't worry if you can't be in D.C. next week... the awesome folks at the SEC are gonna webcast the meeting at!! Join in and watch the Commission hash it out under one roof. Don't Miss It! SEC Headquarters, Open Meeting on Wednesday, April 18, 2018, at 3:30 p.m EST Go to and click on "Join Webcast"

Well, the Open Meeting may not be as entertaining as monster truck rally-- but we are happy to have your attention.


This is another important event in determining what may be next for the Fiduciary topic. You can watch and listen to the Commission discuss the matters to be considered on Wednesday, April 18 at 3:30 pm (EST).  The meeting will be open to the public, and will be webcast on the Commission’s website at     More to come....



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We hope that these postings are helpful.  We will continue to provide updates when relevant as important information related to this topic becomes available.


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