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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

Broker-Dealer and Investment Adviser - Standard of Care (18 pp) $29.00
By Clifford E. Kirsch, Esquire

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Suitability: The Emerging Regulatory Framework (32 pp) $29.00
By Clifford E. Kirsch, Esquire

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Staying Ahead of FINRA and SEC Enforcement: Trends and Litigation Developments (50 pp) $29.00
By Brian L. Rubin, Esquire J. Bradley Bennett Jeffrey W. Coverdell

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Operational and Financial Regulatory Developments: Operations Professional Registration and Outsourcing Developments (18 pp) $29.00
By Eric A. Arnold

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Proposed Amendments to the Broker-Dealer Financial Reporting Rule (36 pp) $29.00
By Christopher Salter

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Developments With Respect to Activities in the Municipal Marketplace (18 pp) $29.00
By Clifford E. Kirsch, Esquire

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The New Retirement Plan Marketplace: A Broker-Dealer Guide to ERISA Reform (26 pp) $29.00
By Jason C. Roberts

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Operations Professional Registration and Outsourcing Developments (22 pp) $29.00
By Eric A. Arnold

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2012 Advocacy Priorities (6 pp) $29.00
By David T. Bellaire, Esquire

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Regulatory Overview: Suitability and Standard of Care (30 pp) $29.00
By Bruce W. Maisel, Esquire

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Overview of Regulatory Requirements Impacting Investment Advisers and Broker-Dealers When Providing Investment Advice (14 pp) $29.00
By John Munch

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Advisory Activities of Dual Registrants (26 pp) $29.00
By John Munch

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