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03135aam a2200397 i 4500 001 3A9F9C52F5D511E7B33F7C0497128E48 003 SILO 005 20180110010212 008 150304t20152015nyuac b 001 0 eng 020 $a 1402423942 020 $a 9781402423949 035 $a (OCoLC)904344746 040 $a CGQ $c CGQ $b eng $e rda $d OCLCO $d PQD $d SLA $d IaU-L $d UtOrBLW $d SILO 245 00 $a Broker-dealer advisory services, 2015 : $b current legal and compliance issues facing dual registrants / $c chair, Clifford E. Kirsch. 246 1 $i Former title: $a Broker-dealer and adviser regulatory compliance forum 246 3 $a Broker dealer advisory services 264 1 $a New York, New York : $b Practising Law Institute, $c [2015] 300 $a 170 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2150 505 20 $t Dual Registrant Advice in the Retirement Marketplace / $r Jason C Roberts, Chief Executive Officer, Pension Resource Institute $t Practical Considerations Regarding the Establishment and Maintenance of the Broker Dealer Supervisory Framework (June 23, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP Issa J Hanna Sutherland Asbill & Brennan LLP -- $t FINRA Regulatory Framework Applicable to Dual Registrants / $r Cece Baute Mavico Counsel, Norton Rose Fulbright LLP -- $t Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA s Advertising Rules (February 19, 2014) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP John C Munch General Counsel, SEI Investments Distribution Co. -- $t Dual Registrant Advice in the Retirement Marketplace / $r Jason C Roberts, Chief Executive Officer, Pension Resource Institute 500 $a "#58573"--Page 4 of cover. 500 $a "Prepared for distribution at the Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants Program, February 18, 2015"--Page 5. 500 $a Index begins with letter B and is erratic. 504 $a Includes bibliographical references and index. 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 Financial planners $x Legal status, laws, etc. $z United States. 650 0 $a Stockbrokers $x Legal status, laws, etc. $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008111446 650 0 $a Securities industry $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2010112448 650 0 $a Securities $z United States. $0 http://id.loc.gov/authorities/subjects/sh2010111900 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-2150. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20180110045634.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=3A9F9C52F5D511E7B33F7C0497128E48Initiate Another SILO Locator Search