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Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2014.

ERISA Fiduciary Investment Basics 2014

Handbook  Course Handbook

Course Handbook from the program ERISA Fiduciary Investment Basics 2014, held January, 2014.

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.