"#150662"--Spine. "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. Index is erratic. Includes bibliographical references and index.
Contents:
Sutherland, Legal Alert: DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions (April 21, 2015) / Vanessa A Scott Sutherland Asbill & Brennan LLP. The Broker Dealer and Adviser Uniform Standard of Care (December 15, 2015) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- FINRA: A Report from the Financial Industry Regulatory Authority, Report on Conflicts of Interest (October 2013) / Michael Rufino Executive Vice President, Head of FINRA Member Regulation Sales Practice, FINRA -- Conflicts of Interest Review Compensation and Oversight (August 2015) / Michael Rufino Executive Vice President, Head of FINRA Member Regulation Sales Practice, FINRA -- 2015 Fiduciary Advice Proposal / Abigail B Pancoast Vice President, Chief Counsel, Lincoln Financial Group -- Sutherland, Legal Alert: DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions (April 21, 2015) / Vanessa A Scott Sutherland Asbill & Brennan LLP.
Series:
Corporate law and practice course handbook series ; number B-2237
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