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Past Event
30 April 2018


  • Anna T. Pinedo
    T +1 212 506 2275

SEC’s Proposed Regulation Best Interest and Structured Investments

On April 18, the SEC released over 1,000 pages of proposed regulations intended to enhance protections for retail investors, including Proposed Regulation Best Interest. Regulation Best Interest would require a broker-dealer to discharge its duty to act in the best interest of the retail customer through compliance with three specific obligations:  (1) disclosure obligations;  (2) care obligations; and (3) conflict of interest obligations.

Join the Structured Products Association and Mayer Brown on Monday, April 30 for a conference call briefing participants on the SEC’s Proposed Regulation Best Interest.  The discussion will include:

  • The comment period and timing of the rule;
  • The implications of the proposed rule on structured and market-linked investments; and
  • Potential next steps for firms marketing structured investments.

Date & Time
April 30, 2018
5:00 p.m. – 5:45 p.m.

Keith Styrcula, Structured Products Association
Anna Pinedo, Mayer Brown

To register, or for more information about this teleconference, please contact Trevor Starer at  or +1 212 506 2785.

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