Recorded on: Jan. 14, 2013
Taken from the Web Program Understanding Financial Products 2013 Recorded January, 2013 in New York
Ethical Challenges and Other Hot Topics in Financial Products [01:04:18]
Special responsibilities of counsel: delivery of legal opinions, responses to auditors and attorney reporting requirements
Rating agency perspectives
FINRA’s new suitability and know your customer rules
Anticipated rule-making regarding broker-dealer ...