June 27, 2019 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy!

This Issue’s Topics:

  • Women In Listed Derivatives (WILD): Charity Trivia Quiz
  • ACG Chicago, CFA & TMA: Networking Breakfast
  • Live CLE Webinar by Stradley Ronon: Impact of New SEC Regulation Best Interest and Other Standards of Conduct Rules on Broker-Dealers, Investment Advisers and Investment Companies
  • FIA 2019 Annual Meeting & Washington Update

Events:

Women In Listed Derivatives (WILD): Charity Trivia Quiz
Thursday, July 11, 2019, 5:30-8:30 P.M.
CBOT Annex Rooftop, 141 W. Jackson, (Register on the 2nd floor), Chicago, IL

Enjoy an evening of fun, food, drink, laughter, and raffle opportunities with all proceeds funding WILD’s City Colleges of Chicago Next Generation Women in Finance Scholarship. A scholarship aimed at funding a woman’s journey to securing her Associate’s Degree in Finance/Tech.  Ambition is to assist with schooling, books, industry internships and networking, and hopefully a job at the end of school.  WILD has partnered with the City Colleges of Chicago to offer this scholarship and they will quickly present their organization at trivia night.

Guys and Gals welcome, members and non-members encouraged!!!

To register, click here.

ACG Chicago, CFA & TMA: Networking Breakfast
Friday, July 26, 2019, 7:30-9:30 A.M.
Rivers Restaurant, 30 S. Wacker Dr., Chicago, IL

The Association for Corporate Growth Chicago, the Commercial Finance Association Midwest Chapter, and the Turnaround Management Association Chicago/Midwest Chapter invite you to a morning of fun and networking overlooking the Chicago River. Enjoy drinks and breakfast while growing your network of local dealmakers.

For more information, click here.

Live CLE Webinar by Stradley Ronon: Impact of New SEC Regulation Best Interest and Other Standards of Conduct Rules on Broker-Dealers, Investment Advisers and Investment Companies
Wednesday, July 31, 2019, 12:00-1:30 P.M.

Lawrence P. Stadulis, Sara P. Crovitz and John M. Baker, members of Stradley Ronon’s Fiduciary Governance Group, will explain the practical implications for broker-dealers, investment advisers and investment companies on the Securities and Exchange Commission’s (SEC) new standard of conduct rules and guidance. Specifically, they will discuss:

  • Regulation Best Interest: How and why the SEC adopted, and the implications for firms of, a standard of conduct for broker-dealers and their associated natural persons when making a recommendation to a retail customer of any securities transaction or investment strategy involving securities.
  • Form CRS: How and why the SEC adopted, and the implications for firms of, a requirement for registered investment advisers and registered broker-dealers to provide a Form CRS relationship summary to retail investors.
  • Standard of Conduct for Investment Advisers: How and why the SEC adopted, and the implications for firms of, an interpretation of the standard of conduct for investment advisers.
  • “Solely Incidental”: How and why the SEC adopted, and the implications for firms of, an interpretation of the “solely incidental” prong of Section 202(a)(11)(C) of the Investment Advisers Act of 1940, which provides that the term “investment adviser” does not include any broker or dealer whose performance of investment advisory services is solely incidental to the conduct of his business as a broker or dealer and who receives no special compensation therefor.

For more information, click here.

FIA 2019 Annual Meeting & Washington Update
Thursday, August 1, 2019, 12:00-3:00 P.M.
The Union League Club of Chicago, 65 W. Jackson Blvd., Crystal Room, Chicago, IL

The FIA Operations Americas division presents its Annual Meeting and Washington Update with Walt Lukken, President and CEO of FIA. Lukken will give his annual Washington Update address and discuss his thoughts on the DC landscape, as well as challenges and opportunities facing the industry in 2019. Register today and renew your membership with the Operations Americas division! 

For more information, click here.

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