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Rating:SEC to Conduct Roundtable Not Rated 3.0 Email Routing List Email & Route  Print Print
Thursday, March 23, 2000

SEC to Conduct Roundtable

Reported by Hayley Green

The Securities and Exchange Commission will conduct a roundtable on May 23, 2000, to discuss a variety of issues relating to investment advisors currently on the Commission's agenda and to seek industry and public input.

The conference will bring together investment advisors, legal counsel to advisors, investor advocates, representatives from state regulatory bodies, representatives from the NASD, and others to discuss these issues and offer their views.

Chairman Arthur Levitt will open the roundtable with a keynote address, to be followed by a series of panel discussions moderated by officials from the Commission's Division of Investment Management. Topics of discussion will include:

- modernization of advisor regulation;
- distinctions between advisers and broker-dealers;
- persons excluded from the definition of investment advisor;
- adviser trading practices, including the use of soft dollars and the obligation to seek best execution;
- personal trading and other conflict of interest issues;
- pay-to-play practices;
- advertising and performance reporting; and
- technology and adviser regulation, including a new electronic filing and registration system for advisors. 

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