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Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Chair(s): Clifford E. Kirsch

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

Published: Feb 2014 i Other versions can be found in the Related Items tab.
ISBN: 9781402421549
PLI Item #: 49237
CHB Spine #: B2074

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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 (February 19, 2014)
Chapter 2. Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework (February 19, 2014)
Chapter 3. Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA’s Advertising Rules (February 19, 2014)
Chapter 4. Dual-Registrant Advice in the Retirement Marketplace: A Compliance Guide for Selling & Servicing Retirement Plans (December 5, 2013)
Chapter 5. Advice Regarding Commodities (December 9, 2013)
Chapter 6. Advice Regarding Commodities (February 19, 2014) (PowerPoint Slides)
Index