| Broker-Dealer and Adviser Regulatory Compliance Forum 2013 TOC |
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| Chapter 1: Structuring and Selling Structured Products |
Anna T. Pinedo ~ Morrison & Foerster LLP
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| Chapter 2: Structured Thoughts 2012 |
Anna T. Pinedo ~ Morrison & Foerster LLP
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| Chapter 3: Good Walls, Better Compliance: OCIE's Report |
Anna T. Pinedo ~ Morrison & Foerster LLP
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| Chapter 4: FINRA Commences Sweep Request Relating to Conflicts of Interest |
Anna T. Pinedo ~ Morrison & Foerster LLP
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| Chapter 5: Protection in the Firing Line |
Anna T. Pinedo ~ Morrison & Foerster LLP
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| Chapter 6: Investment Adviser Advertising Developments: Focus on the JOBS Act |
Jesse P. Kanach ~ Shearman & Sterling LLP
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| Chapter 7: The Investment Lawyer--Advertising Rules for Private Funds: A Post-JOBS Act Primer: Part 1 of 2 |
Jesse P. Kanach ~ Shearman & Sterling LLP
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| Chapter 8: Overview of Recent FINRA Rulemaking Regarding Communications with the Public and Suitability Obligations |
Stephanie R. Nicolas ~ WilmerHale LLP
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| Chapter 9: Offering Cross-Border Investment Products and Advisory Services to Clients in Latin America |
Christopher D. Christian ~ Partner, Dechert LLP
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| Chapter 10: FINRA's Newsroom Speeches: Remarks from Susan F. Axelrod, Executive Vice President, Member Regulation Sales Practice, at PLI's Seminar on Broker-Dealer and Enforcement 2012 |
Clifford E. Kirsch ~ Sutherland
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| Chapter 11: FINRA's 2012 Annual Regulatory and Examination Priorities Letter |
Clifford E. Kirsch ~ Sutherland
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| Chapter 12: Conflicts of Interest and Risk Governance: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Before the National Society of Compliance Professionals |
Clifford E. Kirsch ~ Sutherland
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| Chapter 13: Address at the Private Equity International Private Fund Compliance Forum: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Clifford E. Kirsch ~ Sutherland
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| Chapter 14: Index to Broker-Dealer and Adviser Regulatory Compliance Forum 2013 |
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