Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Front Matter
Faculty Bios
Table of Contents
Chapter 1. Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—The Broker-Dealer and Adviser Uniform Standard of Care (February 8, 2017)
Chapter 2. Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—Supervision (February 8, 2017)
Chapter 3. FINRA Regulatory Framework Applicable to Dual Registrants
Chapter 4. DOL Fiduciary Rule: Impact Analysis & Action Items for Dual-Registrants (December 11, 2016)
Index