Narrow Your Results

Display:

Seminars & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

List View Table View

Broker-Dealer Regulation and Enforcement 2014

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2014, held October, 2014.

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group