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Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants
Chair(s):
Clifford E. Kirsch
Practice Area:
Corporate & Securities
Published:
Feb 2016
ISBN:
9781402426179
PLI Item #:
148839
CHB Spine #:
B2225
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. The Broker-Dealer and Adviser Uniform Standard of Care (December 15, 2015)
Chapter 2. Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework (February 2016)
Chapter 3. Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA’s Advertising Rules (February 2016)
Chapter 4. FINRA Regulatory Framework Applicable to Dual Registrants
Chapter 5. Dual-Registrant Advice in the Retirement Marketplace: Overview of Proposed Regulation Redefining Fiduciary under ERISA & Best Interest Contract Exemption
Index
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