Webinar: April 16, 2026 | 1PM ET

The Retirement Security Rule is gone. The responsibility isn’t.

Rollover advice remains one of the most scrutinized, and valuable, decisions in wealth – with over $1.3 trillion in assets in motion every year.

Firms need to now navigate a familiar, but demanding framework: the 5-Part Test, and Regulation Best Interest (Reg BI). At the same time, the convergence of wealth and retirement is accelerating – raising both the opportunity for growth and the expectation for defensible advice.

The question is no longer what the rules are. It’s how consistently you can apply them.

Join wealth industry leaders for a timely discussion on rollover advice in the Post-Security Rule Era, to gain clarity on what actually governs rollover advice today.
 

What You’ll Learn

• What the return to the 5-Part Test means for rollover advice today
• Why doubling down on Reg BI is now critical
• What role will PTE 2020-02 play, if any?
• Why rollover advice sits at the center of the wealth-retirement convergence
• How to build consistent, audit-ready processes for rollover recommendations
• How leading firms are using technology and platforms to scale compliant growth

Who Should Attend

• Chief Compliance Officers (CCOs)
• Supervision & Risk Leaders
• Wealth Managers & Advisors
• Retirement Plan Advisors (RPAs)
• Broker-Dealer & RIA Executives

Save Your Seat: Understand the rules. Execute with confidence. Grow with clarity.

Save Your Seat:

William Nelson, Director of Public Policy and Associate General Counsel, Investment Adviser Association

William joined the IAA in 2021 after serving as assistant general counsel at CFP Board, where he was responsible for assisting with the development of their Code of Ethics and Standards of Conduct, Sanction Guidelines, Fitness Standards, and Procedural Rules. Prior to joining CFP Board, William served as chief compliance officer for Mercer Advisors, where he redesigned the firm’s entire compliance program, served as legal advisor to Mercer Advisors’ Investment and ERISA Committees, was a subject matter expert on legal and regulatory compliance.

Fred Reish, Employee Benefits Attorney

Fred Reish is a noted authority on retirement plan products and plan management who helps ensure that clients fulfill their fiduciary duty to investors and comply with federal law. He counsels plan sponsors, service providers and registered investment advisers on fiduciary responsibility, prohibited transactions under federal law, federal audits and pension plan disputes. When clients face regulatory disputes, Fred counsels them on mitigating the impact of enforcement actions and resolving compliance issues.

Tracey Longo, Washington Editor, Financial Advisor Magazine

Ed Wegener, Managing Director, Oyster Consulting LLC

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Parham Nasseri, Vice President Regulatory Strategy, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as Vice President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.