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FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape--Staying Ahead of the Curve

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Coursebook Forms:

NASD Letter of Acceptance, Waiver, and Consent re: Jefferies & Company, Inc. (20 pp) $29.00

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NASD Letter of Acceptance, Waiver, and Consent re: Wells Investment Securities, Inc. (12 pp) $29.00

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Sample Disclosure Forms (10 pp) $29.00

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Coursebook Papers:

Table of Contents

U.S. Securites and Exchange Commission Compliance Alert (20 pp) $29.00

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Letter re: FINRA Examination Program (12 pp) $29.00

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Regulatory Update (20 pp) $29.00

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Establishing an Effective Gifts and Entertainment Policy (12 pp) $29.00

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NASD Letter of Acceptance, Waiver and Consent re: Fidelity (26 pp) $29.00

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SEC Notice of Filing of Proposed Rule Change re: Policies and Procedures Addressing Business Entertainment (12 pp) $29.00

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NASD Notice to Members re: Gifts and Gratuities (6 pp) $29.00

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Broker-Dealer and Associated Person Registration (22 pp) $29.00

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Designing a Compliant Advertising Review Program - Questions and Answers with the FINRA Staff (12 pp) $29.00

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Practical Considerations-Supervising Electronic Communications (16 pp) $29.00
By John R. Hewitt, Esquire

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Supervision of Electronic Communications (10 pp) $29.00
By John R. Hewitt, Esquire

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Broker-Dealer and Investment Adviser Regulation Affecting Hedge Funds (12 pp) $29.00
By Linda Lerner, Esquire

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SEC Proposes Amendments to Form ADV Part 2: Clear Definitions and Reasonable Annual Update Requirements Needed (10 pp) $29.00

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CFP Board's Revised Standards of Professional Conduct: Frequently Asked Questions (20 pp) $29.00

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CFP Board Standards of Professional Conduct Raise Serious Concerns for Independent Financial Advisors and Broker-Dealers (8 pp) $29.00

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Practical Considerations Regarding Supervision of Annuity Sales (25 pp) $29.00
By Clifford E. Kirsch, Esquire

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Hewitt, Jannace, and Rubin-Practical Considerations-Supervising Electronic Communications--Supplemental Material (76 pp) $39.00
By Brian L. Rubin, Esquire John R. Hewitt, Esquire William Jannace

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Kirsch, Lacek, and Richardson-Variable Anuities, Mutual Funds, 529 Plans and Advisory Programs--Supplemental Material (12 pp) $29.00
By Clifford E. Kirsch, Esquire Michael J. Lacek Scott K. Richardson

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Bellaire, Kirsch, and Rosh-Broker-Dealer Advisory Services-Where do we go from here?-Supplemental Material (12 pp) $29.00
By Clifford E. Kirsch, Esquire David T. Bellaire, Esquire Robert M. Rosh

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Kasprzak, Ruffino, and Sullivan-Establishing an Effective Gifts and Entertainment Policy-Supplemental Material (32 pp) $29.00
By Michael G. Rufino, S.J. Neal E. Sullivan, Esquire Stephen A. Kasprzak

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Lang and Ramtahal-Ramifications of the Credit Market Crisis-Supplemental Material (12 pp) $29.00
By Anand K. Ramtahal Neil S. Lang, Esquire

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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:

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