The independent broker-dealer legal and compliance forum : study materials
- Philadelphia, PA : American Law Institute, c2012.
- Physical description
- x, 258 p. : ill. ; 28 cm.
Law Library (Crown)
|KF1072 .A75 I53 2012||Unknown|
- 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.
- Investment advisors > Legal status, laws, etc. > United States.
- Stockbrokers > Legal status, laws, etc. > United States.
- Financial Industry Regulatory Authority > Rules and practice.
- United States. Securities and Exchange Commission > Rules and practice.
- Financial services industry > Law and legislation > United States.
- Publication date
- At head of title: ALI/CLE, the American Law Institute Continuing Legal Education.
- "September 14, 2012. New York, New York."
- Cover title.
Browse related items
Start at call number: