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The Independent Broker-Dealer
Legal and Compliance Forum

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Coursebook Papers:

Table of Contents

Broker-Dealer Supervision (28 pp) $29.00
By Clifford E. Kirsch

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Supervision of Advisory Accounts: New Products and Services Yield New Challenges for the Independent Broker-Dealer (20 pp) $29.00
By Jeffrey O. Himstreet

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Summary of FINRA Rulebook and Related Broker-Dealer and Adviser Rulemaking (34 pp) $29.00
By Clifford E. Kirsch

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Letter of January 31, 2012 from FINRA to CCOs Regarding 2012 Regulatory and Examination Priorities (18 pp) $29.00
By Susan Light

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Structured Products (32 pp) $29.00
By Anna T. Pinedo

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FINRA Regulatory Notice: Heightened Supervision of Complex Products (14 pp) $29.00
By Anna T. Pinedo

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Structured Thoughts 2012, a Series of Morrison & Foerster News Bulletins about Complex Financial Products (56 pp) $39.00
By Anna T. Pinedo Susan Light

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Protection in the Firing Line (8 pp) $29.00
By Anna T. Pinedo

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The New Retirement Plan Marketplace: What Do Legal and Compliance Personnel Need To Know? (16 pp) $29.00
By Jason C. Roberts

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ERISA Reform for Broker-Dealers and Investment Advisers: A Ten-Step Guide to Compliance (22 pp) $29.00
By Jason C. Roberts

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Beyond Disclosure: Next Steps for Plan Advisors (6 pp) $29.00
By Jason C. Roberts

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ERISA Reform: Designing a Retirement Plan Compliance Program for Broker-Dealers (6 pp) $29.00
By Jason C. Roberts

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Table of Contents (10 pp)

Supervision of Advisory Accounts (40 pp) $29.00
By Jeffrey O. Himstreet

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