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Dually Registered Broker-Dealers and Advisers – Regulatory, Compliance and Enforcement 2021

Chair(s): Clifford E. Kirsch

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

Published: Feb 2021 i Other versions can be found in the Related Items tab.
ISBN: 9781402438141
PLI Item #: 303157
CHB Spine #: B2623

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Dually Registered Broker-Dealers and Investment Advisers: The Regulatory Framework (February 2021)
Chapter 2. U.S. Securities and Exchange Commission, Risk Alert, Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices (November 9, 2020)
Chapter 3. U.S. Securities and Exchange Commission, Press Release, SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products (November 13, 2020)
Chapter 4. Dual-Registrants: Recent Exam and Enforcement Lessons Outline (February 1, 2021)
Chapter 5. Cheryl L. Haas and Alex M. Madrid, McGuireWoods LLP, The Review of Securities & Commodities Regulation, Regulatory Developments for Dual Registrants, Vol. 52, No. 10 (May 22, 2019)
Chapter 6. Emily P. Gordy, Cheryl L. Haas, Molly White and Elizabeth J. Hogan, McGuireWoods LLP, Yet Another Mutual Fund Fee Issue or “Death by a Thousand Cuts”: FINRA Sweep of Rights of Reinstatement Waivers (November 17, 2020)
Index