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03704aam a2200457 c 4500 001 CDA6142C00D411E888826E0497128E48 003 SILO 005 20180124010218 008 160426s2016 nyuac b 001 0 eng 020 $a 1402426623 020 $a 9781402426629 035 $a (OCoLC)947855980 040 $a PQD $b eng $e rda $c PQD $d SLA $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 050 4 $a KF1070.A2 $b F562 2016 $0 http://id.loc.gov/authorities/classification/K 245 00 $a Financial services conflict of interest & fiduciary duties 2016 : $b navigating the emerging regulatory maze / $c chair, Clifford E. Kirsch. 264 1 $a New York, New York : $b Practising Law Institute, $c ©2016. 300 $a 268 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2237 500 $a "#150662"--Spine. 500 $a "Prepared for distribution at the Financial Services Conflict of Interest & Fiduciary Duties 2016: Navigating the Emerging Regulatory Maze Program, April 20, 2016, New York City"--Page 5. 500 $a Index is erratic. 504 $a Includes bibliographical references and index. 505 00 $t Sutherland, Legal Alert: DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions (April 21, 2015) / $r Vanessa A Scott Sutherland Asbill & Brennan LLP. $t The Broker Dealer and Adviser Uniform Standard of Care (December 15, 2015) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t FINRA: A Report from the Financial Industry Regulatory Authority, Report on Conflicts of Interest (October 2013) / $r Michael Rufino Executive Vice President, Head of FINRA Member Regulation Sales Practice, FINRA -- $t Conflicts of Interest Review Compensation and Oversight (August 2015) / $r Michael Rufino Executive Vice President, Head of FINRA Member Regulation Sales Practice, FINRA -- $t 2015 Fiduciary Advice Proposal / $r Abigail B Pancoast Vice President, Chief Counsel, Lincoln Financial Group -- $t Sutherland, Legal Alert: DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions (April 21, 2015) / $r Vanessa A Scott Sutherland Asbill & Brennan LLP. 650 0 $a Financial services industry. $0 http://id.loc.gov/authorities/subjects/sh88000615 650 0 $a Trusts and trustees. $0 http://id.loc.gov/authorities/subjects/sh85138271 650 0 $a Brokers. $0 http://id.loc.gov/authorities/subjects/sh85017033 650 0 $a Investment advisors. $0 http://id.loc.gov/authorities/subjects/sh85067705 610 10 $a United States. $t Employee Retirement Income Security Act of 1974. $0 http://id.loc.gov/authorities/names/n79065177 610 10 $a United States. $t Securities Exchange Act of 1934. $0 http://id.loc.gov/authorities/names/n80159036 610 10 $a United States. $t Investment Advisers Act of 1940. $0 http://id.loc.gov/authorities/names/no95041356 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 610 20 $a Financial Industry Regulatory Authority $x Rules and practice. 650 0 $a Wealth. $0 http://id.loc.gov/authorities/subjects/sh85145828 650 0 $a Legal ethics. $0 http://id.loc.gov/authorities/subjects/sh85075748 700 1 $a Kirsch, Clifford E., $e chair. $0 http://id.loc.gov/authorities/names/n96028333 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2237. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20180124023238.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=CDA6142C00D411E888826E0497128E48Initiate Another SILO Locator Search