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Ethics, Regulation & Compliance

November 13, 2008 - November 14, 2008

Financial Behavior in Retirement Conference

Sutherland Partner Brian L. Rubin is speaking at the Financial Behavior in Retirement conference, November 13-14, 2008, at the Doral Resort in Miami, Florida. Brian will be a member of a panel entitled "Ethics, Regulation & Compliance." According to the Securities and Exchange Commission, nearly one-third of all U.S. investors are between 50 and 64 years of age, and approximately 5 million senior citizens succumb to financial abuse each year. Increasingly, regulators such as the SEC, FINRA and the North American Securities Administrators are scrutinizing sales pitches that include "free lunch" investment seminars offered to seniors. This panel discussion will address: regulatory and enforcement developments, including FINRA Rule 2821 and SEC Proposed Rule 151A on Equity Indexed Annuities; Senate Committee on Aging hearings; NASAA's new Use of Senior Designations Rule, which is now being implemented in a number of states and has a direct impact on investment advisors who sell to seniors; and what steps a firm should take to better supervise sales to seniors, including focusing on sales materials, seminars and suitability.

For more information and to register for this event, click here.

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Adam C. Pollet, Associate
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