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Broker-Dealer and Adviser Regulatory Compliance Forum 2011
Author(s):
Clifford E. Kirsch
Practice Area:
Banking, Corporate & Securities
Published:
Feb 2011
ISBN:
9781402415425
PLI Item #:
28974
CHB Spine #:
B1869
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Front Matter
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Table of Contents
Chapter 1. Broker-Dealer and Investment Adviser—Standard of Care
Chapter 2. The SEC’s Form ADV Part 2: The New Investment Adviser Disclosure Regime
Chapter 3. Legal/Compliance Officer Liability
Chapter 4. Practical Compliance Considerations Regarding FINRA’s New Requirement to Report Internal Conclusions of Violations
Chapter 5. Overview of Due Diligence Obligations for Broker-Dealers and Advisers When Recommending Unregistered Securities and Selecting Fund Managers
Chapter 6. Outsourcing Back-Office Functions to Third-Party Service Providers
Chapter 7. Broker-Dealer Supervision
Chapter 8. PLI Broker-Dealer and Adviser Regulatory Compliance Forum 2011
Chapter 9. FINRA 2010 Examination Priorities Letter by Robert C. Errico, Executive Vice President Member Regulation, Sales Practice Regulation; Grace B. Vogel, Executive Vice President, Member Regulation, Risk Oversight and Operational; Thomas R. Gira, Executive Vic
Chapter 10. Speech by SEC Staff: Remarks at the CCoutreach National Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
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