Watching the Public Policy Horizon: Staying Ahead for Your Clients

Join us as we take a look at the evolving public policy landscape impacting financial advisors and their clients, including legislative, SEC, and FINRA changes, NAIC’s "best interest" rule for annuity recommendations, and the U.S. Department of Labor’s Prohibited Transaction Exemption 2020-02.

Speaker: Skip Schweiss

CEO Skip Schweiss oversees all operational and growth activities. His past leadership roles include president and managing director for TD Ameritrade Trust Company and EVP/COO for Fiserv Trust Company. For TD Ameritrade, Schweiss conducted significant public policy advocacy work, carefully monitoring legislative and regulatory developments in Washington, DC that affect fiduciary advisors and their clients and ensuring advisor voices were included in the policy-making process. Schweiss holds a BS in Business Administration from the University of South Dakota and an MS in Finance from the University of Colorado. He is past board president and current board chair of the Financial Planning Association, and he earned the Readers’ Choice title of “25 Most Influential People in Industry” from Investment Advisor magazine.

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