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SEC/NASD Compliance: Designing and Implementing an Effective Compliance Program for Mutual Funds, In--2007

In these advanced intensive materials, senior SEC and NASD officials and leading legal and compliance practitioners get together to give insight into the top compliance issues facing broker-dealers, investment companies, and advisers. The materials provide thorough analysis of the rules coming out of the regulatory bodies and address the best practices and technological solutions to help firms meet their compliance requirements. CM091

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Coursebook Papers:

Table of Contents

Practical Considerations Regarding Broker-Dealer Supervision of Variable Annuity Sales (22 pp) $29.00

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Chronology of Significant Events: Proposed NASD Rule 2821 (Members' Responsibilities Regarding Deferred Variable Annuities) (12 pp) $29.00

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Gifts and Entertainment Compliance (160 pp) $49.00

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Soft Dollars: Recent Developments and Selected Issues (32 pp) $29.00

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Designing and Implementing an Effective Compliance Program (32 pp) $29.00

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Advertising (26 pp) $29.00

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SEC/SRO Enforcement Priorities (44 pp) $29.00

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Responding to the Regulators (10 pp) $29.00

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Coursebook Subscription - Securities
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