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03978aam a2200493 i 4500 001 2F035390FAD311E7A45C351A97128E48 003 SILO 005 20180116092551 008 160222t20162016nyuac b 101 0 eng 020 $a 1402426178 020 $a 9781402426179 035 $a (OCoLC)940507246 040 $a CGQ $b eng $e rda $c CGQ $d PQD $d OCLCO $d SLA $d OCLCO $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 245 00 $a Broker-dealer advisory services, 2016 : $b current legal and compliance issues facing dual registrants / $c chair, Clifford E. Kirsch. 246 3 $a Broker dealer advisory services 247 10 $a Broker-dealer and adviser regulatory compliance forum 264 1 $a New York, New York : $b Practising Law Institute, $c [2016] 300 $a 156 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2225 500 $a "#148839"--Page 4 of cover. 500 $a "Prepared for distribution at the Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants Program, February 17, 2016"--Page 5. 504 $a Index begins with letter B and is erratic. 504 $a Includes bibliographical references and index. 505 00 $t Dual Registrant Advice in the Retirement Marketplace: Overview of Proposed Regulation Redefining Fiduciary under ERISA & Best Interest Contract Exemption / $r Jason C Roberts CEO, Partner Retirement Law Group , Pension Resource Institute, LLC Bonnie M Treichel Pension Resource Institute, LLC. $t Practical Considerations Regarding the Establishment and Maintenance of the Broker Dealer Supervisory Framework (February 2016) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA s Advertising Rules (February 2016) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP John C Munch General Counsel, SEI Investments Distribution Co. -- $t FINRA Regulatory Framework Applicable to Dual Registrants / $r Cece Baute Mavico Vice President and Associate General Counsel, LPL Financial -- $t Dual Registrant Advice in the Retirement Marketplace: Overview of Proposed Regulation Redefining Fiduciary under ERISA & Best Interest Contract Exemption / $r Jason C Roberts CEO, Partner Retirement Law Group , Pension Resource Institute, LLC Bonnie M Treichel Pension Resource Institute, LLC. 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 Stockbrokers. $0 http://id.loc.gov/authorities/subjects/sh88001213 650 0 $a Financial planners. $0 http://id.loc.gov/authorities/subjects/sh86000185 650 0 $a Conflict of interests. $0 http://id.loc.gov/authorities/subjects/sh85030963 650 0 $a Advertising. $0 http://id.loc.gov/authorities/subjects/sh85001086 650 0 $a Pensions $x Management. 650 0 $a Individual retirement accounts. $0 http://id.loc.gov/authorities/subjects/sh85065682 650 0 $a Retirement $x Planning. $0 http://id.loc.gov/authorities/subjects/sh94006885 650 0 $a Securities industry. $0 http://id.loc.gov/authorities/subjects/sh88002013 650 0 $a Securities. $0 http://id.loc.gov/authorities/subjects/sh85119463 650 0 $a Brokers. $0 http://id.loc.gov/authorities/subjects/sh85017033 650 0 $a Commodity exchanges. $0 http://id.loc.gov/authorities/subjects/sh85028977 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-2225. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20180116145922.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=2F035390FAD311E7A45C351A97128E48Initiate Another SILO Locator Search