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Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Chair(s): Clifford E. Kirsch

Practice Area: Banking and finance, Broker-dealers, Financial services, Investment advisers, Securities and other financial products, Supervised persons (Investment advisers), Supervision (Broker-dealers)

Published: Feb 2016 i Other versions can be found in the Related Items tab.
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