Litigation & enforcement partner Amy Jane Longo will present on “Revisiting the definition of ‘business as such’” at SIFMA’s Off-Channel Communications Forum on Thursday, October 26th in New York City. Amy's presentation will address what is “business as such” under Rule 17a-4, whether these findings have altered the generally accepted interpretations of what it means, the ramifications of over-preserving, whether the definition should be changed or updated (and how), and the requirements for retaining communications for RIAs and the intersection with broker-dealer requirements.
Registration is complimentary and available to SIFMA members and regulators. This Forum is closed to media.
SIFMA is a leading trade organization, advocating on legislation, regulation and business policy for the nation's securities industries.
Stay Up To Date with Ropes & Gray
Ropes & Gray attorneys provide timely analysis on legal developments, court decisions and changes in legislation and regulations.
Stay in the loop with all things Ropes & Gray, and find out more about our people, culture, initiatives and everything that’s happening.
We regularly notify our clients and contacts of significant legal developments, news, webinars and teleconferences that affect their industries.