Online CLE | CLE Credits Online | Online CLE Courses | ALI-CLE.org
Online Library

Back to Results Back to Results

SEC/NASD Compliance: Designing and Implementing an Effective Compliance Program for Mutual Funds, In--2006

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. CL089

Purchase this digital coursebook for: $125.00 Add to Cart

Click here to learn about
Coursebook Subscriptions by Practice Area

Coursebook Papers:

Table of Contents

Structuring a Compliance Function and Assessing Compliance Program Effectiveness (10 pp) $29.00

Preview Document (PDF) Add to Cart


Demystifying Compliance: Lessons We Have Learned (10 pp) $29.00

Preview Document (PDF) Add to Cart


Compliance Programs for Mutual Funds and Investment Advisers (24 pp) $29.00

Preview Document (PDF) Add to Cart


Broker-Dealer Compliance Programs (92 pp) $39.00

Preview Document (PDF) Add to Cart


Compliance Checklist - Supervisory Control Amendments (8 pp) $29.00

Preview Document (PDF) Add to Cart


Compliance Checklist - Documenting the Annual Review of the Firm's Compliance Programs (6 pp)

Overview of a Regulatory Inquiry (122 pp) $49.00

Preview Document (PDF) Add to Cart


Practical Tips for Handling Regulatory Inspections (22 pp) $29.00

Preview Document (PDF) Add to Cart


Independent Broker-Dealer Compliance Issues (14 pp) $29.00

Preview Document (PDF) Add to Cart


Financial Planning After the Adoption of SEC Rule 202(a)(11)-1 (24 pp) $29.00

Preview Document (PDF) Add to Cart


Soft Dollars: Old Guidance and New Guidance (30 pp) $29.00

Preview Document (PDF) Add to Cart


Point-of-Sale Technology Demonstration (4 pp) $29.00

Preview Document (PDF) Add to Cart


Implementation of Rule 22c-2 (18 pp) $29.00

Preview Document (PDF) Add to Cart


Trading and Best Execution Compliance Issues (32 pp) $29.00

Preview Document (PDF) Add to Cart


Course Materials Subscription

Purchase a course materials subscription and get this book and many more for one low price. The above course materials are part of the following Practice Area subscriptions:

Coursebook Subscription - Securities
Price: $399.00 Add to Cart

To view a complete list of course materials included in each subscription, click the practice area you are interested in.