"Prepared for distribution at the Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants Program, February 19, 2014"--Page 5. "#49237."--Spine Includes bibliographical references and index.
Contents:
Advice Regarding Commodities (February 19, 2014) (PowerPoint Slides) / Susan I. Gault Brown K&L Gates LLP Practical Considerations Regarding the Establishment and Maintenance of the Broker Dealer Supervisory Framework (February 19, 2014) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP Issa J. Hanna Sutherland Asbill & Brennan LLP -- Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA s Advertising Rules (February 19, 2014) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP John Munch SEI Investments Company -- Dual Registrant Advice in the Retirement Marketplace: A Compliance Guide for Selling & Servicing Retirement Plans (December 5, 2013) / Jason C. Roberts Pension Resource Institute, LLC -- Advice Regarding Commodities (December 9, 2013) / Susan I. Gault Brown K&L Gates LLP -- Advice Regarding Commodities (February 19, 2014) (PowerPoint Slides) / Susan I. Gault Brown K&L Gates LLP
Series:
Corporate law and practice course handbook series ; number B-2074
This resource is supported by the Institute of Museum and Library Services under the provisions of the Library Services and Technology Act as administered by State Library of Iowa.