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

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Coursebook Papers:

Table of Contents

SEC “Play to Play” Rule (Rule 206(4)-5) and Accompanying Adopting Release Summary (18 pp) $29.00
By Clifford E. Kirsch, Esquire John Munch

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The SEC’s Form ADV Part 2: The New Investment Adviser Disclosure Regime (10 pp) $29.00
By Clifford E. Kirsch, Esquire

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Broker-Dealer and Investment Adviser – Standard of Care (20 pp) $29.00
By Clifford E. Kirsch, Esquire Bruce W. Maisel, Esquire

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Broker-Dealer Supervision (24 pp) $29.00
By Clifford E. Kirsch, Esquire

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Transitioning Representatives: Legal and Compliance Issues When Representatives Jump Firms (26 pp) $29.00
By David E. Rosedahl

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Transitioning Representatives: Legal and Compliance Issues When Representatives Jump Firms (10 pp) $29.00
By Brian L. Rubin, Esquire

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Legal Alert: SEC Proposes to Amend Regulation S-P to Require New Client Information Safeguards and Allow Reps to Take Certain Client Information When They Change Broker-Dealer or Investment Adviser Firms (6 pp) $29.00
By Brian L. Rubin, Esquire

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FINRA Rule Consolidation Update (10 pp) $29.00
By Clifford E. Kirsch, Esquire

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Legal Ethics for the Broker-Dealer and Adviser Lawyer (22 pp) $29.00

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Designing An Effective Due Diligence Program That Will Withstand Regulatory Scrutiny (30 pp) $29.00
By Nathan Headrick, Esquire Pete S. Michaels, Esquire

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Navigating the Advertising Rules Applying to Investment Adviser and Broker-Dealer Advertising (30 pp) $29.00
By Clifford E. Kirsch, Esquire John Munch

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Legal Advertising Update-Supplemental material (6 pp) $29.00
By Alexander C. Gavis Mr. Thomas A. Pappas

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Hypothetical Fact Situations Regarding Legal and Compliance Supervisory Liability and Self-Reporting Considerations; and Lessons Learned from the Financial Crisis and Internal Investigation-Supplemental material (8 pp) $29.00
By John Polanin, Jr.

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The Financial Services Revolution--The Uniform Standard of Care: What Steps Broker-Dealers Should be Taking Now-Supplemental material (14 pp) $29.00
By Clifford E. Kirsch, Esquire Bruce W. Maisel, Esquire David T. Bellaire, Esquire

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A Perfect Storm: Tips for Navigating ERISA Compliance-Supplemental material (18 pp) $29.00
By Jason C. Roberts

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Dissecting Dodd-Frank and a Few Recent Key SEC Rule Changes-Supplemental material (30 pp) $29.00
By Clifford E. Kirsch, Esquire David T. Bellaire, Esquire John Munch

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Wrap Accounts/Separately Managed Accounts (SMAs)-Supplemental material (18 pp) $29.00
By Clifford E. Kirsch, Esquire Jeffrey O. Himstreet

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