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Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Chair(s): Clifford E. Kirsch

Practice Area: Broker-dealers, Enforcement (Securities and other financial products), Investment fund management, Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Feb 2018 i Other versions can be found in the Related Items tab.
ISBN: 9781402430657
PLI Item #: 219138
CHB Spine #: B2382

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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: A Chronology (February 7, 2018)
Chapter 2. Supervision of Representative Outside Activities (February 2018)
Chapter 3. FINRA Regulatory Framework Applicable to Dual Registrants
Chapter 4. Ch. 43: Wrap Fee Programs, Practicing Law Institute, Investment Adviser Regulation (3rd Edition) (October 2017)
Chapter 5. Supervision of Broker-Dealer Advisory Activity (February 2018)
Chapter 6. U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017)
Chapter 7. U.S. Securities and Exchange Commission, Investor Bulletin: Robo-Advisers (February 23, 2017)
Chapter 8. FINRA Report on Digital Investment Advice (March 2016)
Index