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The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer
and Investment Adviser Regulation

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Coursebook Papers:

Table of Contents

Summary of FINRA Rule Consolidation Initiatives (Current as of September 15, 2009) (38 pp) $29.00
By Clifford E. Kirsch, Esquire

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Summary of FINRA Rule Consolidation Initiatives (Current as of September 15, 2009) (38 pp) $29.00
By Clifford E. Kirsch, Esquire

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Recent Regulatory Developments under the Investment Advisers Act (18 pp) $29.00
By Carol A. Gehl, Esquire

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Moving Toward a Functional Regulation of Broker-Dealers and Investment Advisers: What’s on the Horizon (24 pp) $29.00
By Barry P. Barbash, Esquire

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Suitability-Recent Developments: Reviewing and Assessing Your Firm’s Progress (30 pp) $29.00
By Clifford E. Kirsch, Esquire

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Navigating the Advertising Rules Applying to Investment Adviser and Broker-Dealer Advertising (26 pp) $29.00
By Clifford E. Kirsch, Esquire

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FINRA Regulatory Notice 09-55: Communications with the Public (16 pp) $29.00
By Clifford E. Kirsch, Esquire

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Lessons Learned from the Financial Crisis (12 pp) $29.00
By David A. DeMuro, Esquire

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Legal Issues in Times of Change: Business Consolidations; New Lines of Business; Mergers and Acquisitions; Changes of Control (28 pp) $29.00
By Eric A. Arnold

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Broker-Dealer Advisory Services (18 pp) $29.00
By Clifford E. Kirsch, Esquire

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The Punctilio of an Honor the Most Sensitive: An Analysis of the Fiduciary Duty in the Broker/Dealer Context (10 pp) $29.00
By Robert M. Rosh

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Selected Trading Issues for Broker-Dealers and Investment Advisers (22 pp) $29.00
By Soo J. Yim, Esquire

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A Regulatory Policy Dilemma: Short Sale Restrictions and Investor Confidence (22 pp) $29.00
By Soo J. Yim, Esquire

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Short Sale Developments: “Close-Out” Requirement Made Permanent and Additional Regulatory Initiatives Expected from the Securities and Exchange Commission (6 pp) $29.00
By Soo J. Yim, Esquire

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Inspections (78 pp) $39.00
By Richard D. Marshall, Esquire

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Broker-Dealer Advisory Services-supplemental material (20 pp) $29.00

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Suitablity--Recent Developments: Reviewing and Assessing Your Firm's Program-supplemental material (14 pp) $29.00

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Legal Issues in Times of Change: Business Consolidations; New Lines of Business; Mergers and Acquisitions; Changes of Control-supplemental material (26 pp) $29.00
By Eric A. Arnold

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