Course Handbook  Course Handbook

Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Publication Date: February 2019 Number of Volumes: 1
ISBN Number: 9781402433047 Page Count: 50 pages

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Table of Contents
Chapter 1: The Broker-Dealer as Dual-Registrant Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 2: An Enhanced Standard of Care for Broker-Dealers—A Chronology Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 3: Recent Exam and Enforcement Lessons for Dual Registrants Cece Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Cheryl L. Haas ~ McGuireWoods LLP
Index

This Course Handbook was compiled for the program, Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E. Kirsch, Eversheds Sutherland (US) LLP
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Handbook  Course Handbook Archive

Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019 Clifford E. Kirsch, Eversheds Sutherland (US) LLP
 
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