Regulatory Update from the SEC

Lori Schock
September 17, 2020 from 6:00 pm to 8:00 pm

Lori Schock

On June 5, 2019, the Securities and Exchange Commission adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. This brings the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products. These actions are designed to enhance and clarify the standards of conduct applicable to broker-dealers and investment advisers, help retail investors better understand the services offered and make an informed choice.


Lori Schock was named Director of the Securities and Exchange Commission’s Office of Investor Education and Advocacy in October 2009. She previously was Associate Director at the Financial Industry Regulatory Authority’s (FINRA) Investor Education Foundation and Office of Investor Education, and before that, was Director of Outreach at the Center for Audit Quality. Earlier in her career, Ms. Schock served at the SEC and held positions as Acting Director, Deputy Director and Special Counsel to the Director of OIEA. She joined the agency in 2001 as a Staff Attorney. Ms. Schock received her law degree and Master of Taxation from the University of Akron and her bachelor’s degree from Furman University.

Attend this seminar to learn:

  • A better understanding of Regulation Best Interest (Reg. BI) and Form CRS that went into effect this summer
  • Awareness of COVID-19 Investment Scams
  • An opportunity to ask questions of a senior SEC official
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