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The independent broker-dealer legal and compliance forum : study materials.


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Publication date:
Philadelphia, PA : American Law Institute, c2012.
  • Book
  • x, 258 p. : ill. ; 28 cm.
At head of title: ALI/CLE, the American Law Institute Continuing Legal Education. "September 14, 2012. New York, New York." "SU023." Cover title.
Includes bibliographical references.
  • Broker-dealer supervision / by Clifford E. Hirsch and Issa J. Hanna
  • Supervision of advisory accounts : new products and services yield new challenges for the independent broker-dealer / by Jeffrey O. Himstreet
  • Summary of FINRA Rulebook and related broker-dealer and adviser rulemaking / by Clifford E. Hirsch and Issa J. Hanna
  • Letter of January 31, 2012 from FINRA to CCOs regarding 2012 regulatory and examination priorities / submitted by Susan Light
  • Structured products / by Anna T. Pinedo
  • FINRA regulatory notice : heightened supervision of complex products / submitted by Anna T. Pinedo
  • Structured thoughts 2012, a series of Morrison & Foerster news bulletins about complex financial products / submitted by Anna T. Pinedo
  • Protection in the firing line / by Anna T. Pinedo
  • The new retirement plan marketplace : what do legal and compliance personnel need to know? / by Jason C. Roberts
  • ERISA reform for broker-dealers and investment advisers and investment advisers : a ten-step guide to compliance / by Jason C. Roberts and Kimberly Shaw Elliott
  • Beyond disclosure : next steps for plan advisers / by Jason C. Roberts and Kimberly Shaw Elliott
  • ERISA reform : designing a retirement plan compliance program for broker-dealers / by Thomas D. Clough.
American Law Institute.

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