FacultyFaculty/Author Profile
Clifford E. Kirsch

Clifford E. Kirsch

Sutherland Asbill & Brennan LLP

New York, NY, USA


Clifford E. Kirsch  is partner at Sutherland Asbill & Brennan LLP in New York City. Previously, he was Vice President and Senior Corporate Counsel at the Prudential Insurance Company of America. Prior to that, he was first vice president and associate general counsel at Paine Webber ’s asset management subsidiary. From 1985 to 1994, he was on the Staff of the U.S. Securities and Exchange Commission, Division of Investment Management, in Washington, D.C. At the SEC, he held several positions, including Assistant Director in the Office of Insurance Products, and was a recipient of the Manuel F. Cohen Younger Lawyer Award.

Mr. Kirsch teaches at the University of Pennsylvania Law School, and previously taught at Georgetown University Law Center. He serves as chair for two annual American Law Institute/American Bar Association Course Offerings: Investment Management Regulation and Investment Adviser Regulation. He also is Chairman of the NASD’s Variable Insurance Products Committee.

Cliff Kirsch has written on various topics relating to investment companies, investment advisers, and the securities activities of insurance companies and banks. His publications include: Mutual Fund Regulation (Practising Law Institute 2005); Broker-Dealer Regulation (Practising Law Institute 2004); Financial Product Fundamentals (Practising Law Institute 2001); Investment Adviser Regulation (Practising Law Institute 1998); The Financial Services Revolution: Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies (Irwin 1996); Regulation and Distribution of Variable Insurance Products (Aspen 1999) and Investment Management Regulation (Carolina Academic Press 1998), a law school casebook.
Clifford E. Kirsch is associated with the following items:
Treatise  Treatise Mutual Funds and Exchange Traded Funds Regulation - Mutual Fund Regulation
Broker-Dealer Regulation - Broker-Dealer Regulation
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law
Variable Annuities and Variable Life Insurance Regulation - Variable Annuities & Variable Life Insurance Regulation
Financial Product Fundamentals: Law - Business - Compliance - Financial Product Fundamentals: Law - Business - Compliance
Treatise Chapters  Treatise Chapters SEC Record-Keeping Requirements; And Appendix 24A: Retention Schedule of Materials Identified in Rules 31a-1 and 31a-2 Under the Investment Company Act - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
SEC Inspections - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Compliance Policies and Procedures - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Commodity Pool Operator Status and Regulation - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Conducting an Investment Company/Adviser Compliance Review; And Appendices 27A-27B - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Regulation of the Advisory Contract - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Effecting Trades - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
ERISA Issues for Mutual Fund Advisers - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Practical Considerations in Dealing with Valuation Matters and Correcting Net Asset Value Errors; And Appendix 18A: Fund Policies and Procedures for Net Asset Value Error Correction - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
The Role of the Investment Company Chief Compliance Officer - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Prospectus Disclosure and Delivery Requirements - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Regulation of Advisory Fees - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Purchase and Sales of Mutual Fund Shares - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Fund Formation - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Board Structure and Processes - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Preface - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Protection Against Conflicts of Interest - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Custody of Mutual Fund Assets - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
The Mutual Fund Market Timing and Late Trading Scandal of 2003; And Appendices 37A-37E - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Appendix A: Investment Company Act of 1940 - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Marketing Material - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Compliance Calendars - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Regulation of Mutual Fund Sales Practices - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Table of Authorities - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Shareholder Reports; And Appendix 5A: Practice Pointers: Form N-CSR - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Restrictions on Investments; And Chapter 8A: Derivatives Activities - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Litigation Under the Investment Company Act of 1940; And Appendix 35A: Section 36(b) of the 1940 Act - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Redemption Fee Rule - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Capital Structure - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Shareholder Voting - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
An Introduction to Mutual Funds; And Chapter 1A: A History and Overview of Mutual Fund Regulation - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Personal Trading Activities - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Proxy Voting - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Mutual Fund Accounting and Financial Reporting; And Appendix 39A: Summary of Daily Activities of Fund Accounting - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Payments for Distribution by Open-End Funds: Practical Considerations in Structuring a 12b-1 Plan - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Index to Mutual Funds and Exchange Traded Funds Regulation - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Mutual Fund Anti-Money Laundering Rules - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Mutual Fund Taxation - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker-Dealers, Fund Supermarkets and Retirement Plans - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Appendix B: Title 17: Commodity and Securities Exchanges - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
The Sarbanes-Oxley Act - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Distribution; And Appendices 20A-20B - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Exchange Traded Funds - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Closed-End Investment Companies; And Appendix 31A: Form N-2: Registration Statement for Closed-End Management Investment Companies; And Chapter 31A: An Overview of the Formation and Operation of Exchange-Traded Products - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Money Market Funds - Mutual Funds and Exchange Traded Funds Regulation , Thursday, November 17, 2011
Best Execution and Customer Order Handling - Broker-Dealer Regulation , Monday, November 21, 2011
Broker-Dealer and Associated Person Registration; And Chapter 5A: State Regulation of Broker-Dealers and Agents - Broker-Dealer Regulation , Monday, November 21, 2011
SEC and FINRA Enforcement - Broker-Dealer Regulation , Monday, November 21, 2011
SEC Reporting Requirements Under Section 13 of the Exchange Act - Broker-Dealer Regulation , Monday, November 21, 2011
Insider Trading - Broker-Dealer Regulation , Monday, November 21, 2011
Soft Dollars and Other Means of Obtaining Business - Broker-Dealer Regulation , Monday, November 21, 2011
Duty to Supervise - Broker-Dealer Regulation , Monday, November 21, 2011
Handling SEC/SRO Investigations; And Appendices 36A-36I - Broker-Dealer Regulation , Monday, November 21, 2011
Privacy of Client Financial Information - Broker-Dealer Regulation , Monday, November 21, 2011
Research Analysts - Broker-Dealer Regulation , Monday, November 21, 2011
Brokers, Dealers and "Finders" - Broker-Dealer Regulation , Monday, November 21, 2011
Capital Markets and Corporate Finance Activities - Broker-Dealer Regulation , Monday, November 21, 2011
Standard of Care - Broker-Dealer Regulation , Monday, November 21, 2011
Trading Desk Activities - Broker-Dealer Regulation , Monday, November 21, 2011
Municipal Advisor Regulation; And Chapter 40A: Pay-to-Play Rules - Broker-Dealer Regulation , Monday, November 21, 2011
Preface - Broker-Dealer Regulation , Monday, November 21, 2011
Establishment and Maintenance of a Supervisory Structure - Broker-Dealer Regulation , Monday, November 21, 2011
State Broker-Dealer Record-Keeping, Examinations and Enforcement; And Appendix 37A: NASAA Statement of Policy - Broker-Dealer Regulation , Monday, November 21, 2011
Practical Implications Regarding the Safeguarding of Customer Information - Broker-Dealer Regulation , Monday, November 21, 2011
Outsourcing by Financial Services Firms - Broker-Dealer Regulation , Monday, November 21, 2011
Advertising and Communications - Broker-Dealer Regulation , Monday, November 21, 2011
Margin and Extensions of Credit: An Overview - Broker-Dealer Regulation , Monday, November 21, 2011
ERISA Compliance Issues for Broker-Dealers; And Chapter 42A: ERISA Compliance: Practical Considerations for Broker-Dealers and Advisers, and Their Representatives That Sell or Service Retirement Plans - Broker-Dealer Regulation , Monday, November 21, 2011
Electronic Trading; And Chapter 18A: Short Selling - Broker-Dealer Regulation , Monday, November 21, 2011
Bank Exemptions from Broker-Dealer Regulation - Broker-Dealer Regulation , Monday, November 21, 2011
SEC and FINRA Inspections - Broker-Dealer Regulation , Monday, November 21, 2011
Structuring and Selling Structured Products - Broker-Dealer Regulation , Monday, November 21, 2011
Mark-Ups - Broker-Dealer Regulation , Monday, November 21, 2011
Anti-Money Laundering Regulations Applicable to Broker-Dealers - Broker-Dealer Regulation , Monday, November 21, 2011
What Is a Broker-Dealer? - Broker-Dealer Regulation , Monday, November 21, 2011
Index to Broker-Dealer Regulation - Broker-Dealer Regulation , Monday, November 21, 2011
Supervision of Registered Representatives' Outside Business Activities - Broker-Dealer Regulation , Monday, November 21, 2011
Broker-Dealer Regulation of Municipal Authority - Broker-Dealer Regulation , Monday, November 21, 2011
Business Continuity Planning - Broker-Dealer Regulation , Monday, November 21, 2011
Customer Transactions: Suitability, Unauthorized Trading, and Churning - Broker-Dealer Regulation , Monday, November 21, 2011
Financial Obligations--Net Capital, Customer Protection, and Financial Reporting - Broker-Dealer Regulation , Monday, November 21, 2011
SEC and CFTC Whistleblower Rules and Anti-Retaliation Protections - Broker-Dealer Regulation , Monday, November 21, 2011
Record-Keeping - Broker-Dealer Regulation , Monday, November 21, 2011
Compensation - Broker-Dealer Regulation , Monday, November 21, 2011
Clearing Arrangements for Introducing Broker-Dealers; And Appendices 25A-25D - Broker-Dealer Regulation , Monday, November 21, 2011
Introduction - Broker-Dealer Regulation , Monday, November 21, 2011
Table of Cases - Broker-Dealer Regulation , Monday, November 21, 2011
Branch Office Supervision - Broker-Dealer Regulation , Monday, November 21, 2011
Designing a Political Law Compliance Program for Broker-Dealers and Advisers - Broker-Dealer Regulation , Monday, November 21, 2011
Regulatory Reporting Requirements; And Appendices 29A-29D - Broker-Dealer Regulation , Monday, November 21, 2011
Broker-Dealer Compliance Programs; And Appendices 32A-32C - Broker-Dealer Regulation , Monday, November 21, 2011
Customer Accounts - Broker-Dealer Regulation , Monday, November 21, 2011
Clearing Broker Liability and Responsibilities - Broker-Dealer Regulation , Monday, November 21, 2011
Arbitration of a Securities Customer Dispute Before FINRA--A Primer on the Practice - Broker-Dealer Regulation , Monday, November 21, 2011
Insider Trading by Advisory Personnel - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Outsourcing by Financial Services Firms - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Compliance Policies and Procedures - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
SEC and CFTC Whistleblower Rules and Anti-Retaliation Protections - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Mutual Fund Asset Allocation Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Index to Investment Adviser Regulation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendices D1-D6: No-Action Letters - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Advice for Employee Benefit Plans and IRAs; And Chapters 49A-49E - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
The Role of the Investment Adviser Chief Compliance Officer - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Designing a Political Law Compliance Program for Broker-Dealers and Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
SEC Record-Keeping Requirements - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Standard of Care - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Code of Ethics, Personal Trading, and Insider Trading Policies and Procedures - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendices B1-B6: Form ADV - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Private Equity Funds: Legal Analysis of Structural, ERISA, Securities and Other Regulatory Issues - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Model-Based Wrap Fee Programs; And Chapter 45A: Private Fund Reporting by Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Practical Implications Regarding the Safeguarding of Customer Information - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
State Law Issues Relevant to SEC-Registered Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
SEC Reporting Requirements Under Section 13 of the Exchange Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendix E1: SEC Enforcement Cases - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Overview of Institutional and Offshore/Foreign Advisory Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Conducting an Investment Company/Adviser Compliance Review; And Appendices 24A-24B - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Municipal Advisor Regulation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Restrictions - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
SEC Inspections - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
The Advisory Contract - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Soft Dollars - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Status of Financial Planning Under the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Gifts and Entertainment - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Trading Errors - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Wrap Fee Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Commodity Trading Advisor Status and Regulation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Table of Cases - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendices C1-C11: SEC Releases - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Advisers to Private Equity Funds--Practical Compliance Considerations - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Pay to Play - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Practical Considerations for Performance Advertising by Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Anti-Money Laundering Requirements for Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendices A1-A7: Statutes and Regulations - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Hedge Funds; And Chapter 46A: The Hedge Fund Manager--Practical Compliance Considerations - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Privacy of Client Financial Information: An Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
State Adviser Regulation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Custody and Protection of Customer Accounts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Selecting the Broker - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
State Investment Adviser Examinations and Enforcement; And Appendix 37A: NASAA Statement of Policy - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Adviser Trading Desk Activities - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
An Introduction to Mutual Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Exempt Reporting Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Appendices F1-F3: Department of Labor Releases - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Offshore/Foreign Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Advertising by Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Business Continuity Planning - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Adviser Regulation of Public Finance Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Proxy Voting - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Enforcement of the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Adviser Compensation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Trading Conflicts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Insurance Company Agent Advisory Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Referrals - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Affiliated Brokerage - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Broker-Dealer Advisory Services - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Adviser Registration and Disclosure: The Form ADV; And Chapter 4A: Form of Organization - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Regulation and Supervision of Financial Planning Business - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
The Jurisdictional Divide Between the SEC and the States - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Investment Adviser Status Questions; And Appendix 2A: The Defunct Private Investment Adviser Exemption - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law , Friday, December 16, 2011
Index to Financial Product Fundamentals - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Broker-Dealer and Adviser--Standard of Care - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Advertising - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
An Introduction to Variable Insurance Products - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
State Securities Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Variable Life Insurance Illustrations - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Organization of Private Investment Funds: Basic Structural and Legal Issues - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
FINRA Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Introduction to Collective Investment Vehicles - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Marketing on the Internet - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
The Funding Vehicle - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Unit Investment Trusts; And Appendix 8A: Differences Between UITs and Mutual Funds - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Status of Insurance Companies and Insurance Company Separate Accounts Under the Investment Company Act - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Real Estate Investment Trusts; And Appendix 14A: Form S-11: Registration Statement Under the Securities Act for Certain Real Estate Companies - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Asset Allocation Programs and Funds of Funds in Variable Insurance Products - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Real Estate Mortgage Investment Conduits (REMICs); And Appendices 22A-22B - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Suitability - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
College Savings Plans; And Appendix 18A: Table of Municipal Securities Rulemaking Board Rules - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Insurer Exchange Programs - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
An Introduction to Mutual Funds - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
An Introduction to Variable Insurance Products - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
State Insurance Department Market Conduct Examinations - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Redemption Fee Rule - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
SEC Inspections; And Appendix 22A: Examination Request List - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
SEC Registration; And Appendices 8A-8D - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Money Market Funds - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Limited Offerings and Private Placements; And Appendix 2A: Limited Offering and Private Placement Quick Reference Chart - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Tax Treatment of Variable Contracts; And Appendices 4A-4B - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Hedge Funds - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Private Equity Funds: Legal Analysis of Structural, ERISA, Securities and Other Regulatory Issues - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Appendix A: Statutory Material - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Table of Authorities - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Replacement of Insurance Products - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
A Primer on Derivative Contracts and Their Regulation; And Appendices 19A-19E - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
SEC Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Securitization (Asset-Backed Securities and Structured Financing) - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Variable Insurance Product Design - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Closed-End Investment Companies; And Appendix 7A: Form N-2: Registration Statement for Closed-End Management Investment Companies - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Status of Insurance Products Under the Securities Act of 1933 - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Commodity Pools - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Private Placement Variable Life Insurance - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Exchange Traded Funds - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Separate Account Compliance Programs - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
FINRA Examination and Disciplinary Programs - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Issues Related to Product Administration - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
The Registered Offering - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Wrap Fee Programs; And Appendix 10A: Part 2A Appendix 1 of Form ADV - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
International Securities Offerings; And Appendix 3A: Form F-1: Registration Statement Under the Securities Act of 1933 - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
ERISA Issues - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
International Investment Funds; And Appendix 12A: Comparative Guide to Offshore Investment Products - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
An Overview of the Formation and Operation of Exchange-Traded Products - Financial Product Fundamentals: Law - Business - Compliance , Wednesday, November 21, 2012
Index to Variable Annuities and Variable Life Insurance Regulation - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Table of Authorities - Variable Annuities and Variable Life Insurance Regulation , Wednesday, November 21, 2012
Course Handbooks  Course Handbooks Fundamentals of Mutual Funds and Exchange-Traded Funds 2012
Fundamentals of Broker-Dealer Regulation 2012
Fundamentals of Investment Adviser Regulation 2012
Financial Services Industry Regulatory Compliance & Ethics Forum 2012
Understanding Financial Products 2013
Broker-Dealer and Adviser Regulatory Compliance Forum 2013
Basics of Mutual Funds and Other Registered Investment Companies 2013
Municipal Securities Activity by Broker-Dealers and Advisors 2013
Fundamentals of Broker-Dealer Regulation 2013
Fundamentals of Investment Adviser Regulation 2013
CHB Chapters  CHB Chapters Mutual Fund Distribution - Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 , Wednesday, June 06, 2012
Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure - Fundamentals of Broker-Dealer Regulation 2012 , Monday, June 25, 2012
Broker-Dealer Supervision - Fundamentals of Broker-Dealer Regulation 2012 , Monday, June 25, 2012
U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration - Fundamentals of Broker-Dealer Regulation 2012 , Monday, June 25, 2012
Legal/Compliance Officer Liability - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Broker-Dealer Advisory Services - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Form ADV-Instructions, Part 1A, 2A and 2B - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Introduction to the Investment Advisers Act of 1940 - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Financial Planning - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Adviser Compliance Programs - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
The Adviser Registration Process and the Adviser Disclosure Regime - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Wrap Fee Programs - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Broker-Dealer and Investment Adviser--Standard of Care - Fundamentals of Investment Adviser Regulation 2012 , Wednesday, July 18, 2012
Broker-Dealer and Adviser Compliance Programs - Financial Services Industry Regulatory Compliance & Ethics Forum 2012 , Thursday, November 01, 2012
Variable Insurance Products Outline - Understanding Financial Products 2013 , Monday, January 07, 2013
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 - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013
FINRA's 2012 Annual Regulatory and Examination Priorities Letter - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013
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 - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013
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 - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013
U.S. Securities and Exchange Commission—Report on the Municipal Securities Market (July 31, 2012) - Municipal Securities Activity by Broker-Dealers and Advisors 2013 , Friday, May 31, 2013
U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration (April 2008) - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Practical Compliance Considerations Regarding FINRA’s Requirement to Report Internal Conclusions of Violations - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Broker-Dealer Registration and Membership; Registration of Associated Person - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Legal/Compliance Officer Liability for Duty to Supervise - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework (June 24, 2013) - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure (June 24, 2013) - Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013
Introduction to the Investment Advisers Act - Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013
Legal/Compliance Officer Liability for Duty to Supervise - Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013
Adviser Compliance Policies and Procedures - Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013
Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers - Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013
The Broker-Dealer and Adviser Uniform Standard of Care (July 17, 2013) - Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013
Web Segment  Web Segment Insurance Products - Understanding Financial Products 2013 , Monday, January 14, 2013
Ethical Challenges and Other Hot Topics in Financial Products - Understanding Financial Products 2013 , Monday, January 14, 2013
Mutual Funds and Similar Products - Understanding Financial Products 2013 , Monday, January 14, 2013
Broker-dealer and Adviser Advertising Developments - Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Friday, February 22, 2013
Fund Marketing and Sale of Fund Shares - Basics of Mutual Funds and Other Registered Investment Companies 2013 , Tuesday, April 30, 2013
The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation - Basics of Mutual Funds and Other Registered Investment Companies 2013 , Tuesday, April 30, 2013
Broker-Dealer Registration and FINRA Membership - Fundamentals of Broker-Dealer Regulation 2013 , Friday, June 28, 2013
The Customer Relationship - Fundamentals of Broker-Dealer Regulation 2013 , Friday, June 28, 2013
Supervision and Compliance Programs (Legal Ethics) - Fundamentals of Broker-Dealer Regulation 2013 , Friday, June 28, 2013
Adviser Registration; Regulatory Jurisdiction - Fundamentals of Investment Adviser Regulation 2013 , Thursday, July 18, 2013
MP3 Audio  MP3 Audio Understanding Financial Products 2013: Insurance Products - Insurance Products , Monday, January 14, 2013
Understanding Financial Products 2013: Ethical Challenges and Other Hot Topics in Financial Products - Ethical Challenges and Other Hot Topics in Financial Products , Monday, January 14, 2013
Understanding Financial Products 2013: Mutual Funds and Similar Products - Mutual Funds and Similar Products , Monday, January 14, 2013
Broker-Dealer and Adviser Regulatory Compliance Forum 2013: Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Monday, February 25, 2013
Basics of Mutual Funds and Other Registered Investment Companies 2013 - The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation - The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation , Thursday, May 02, 2013
Basics of Mutual Funds and Other Registered Investment Companies 2013: Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares , Thursday, May 02, 2013
Fundamentals of Investment Adviser Regulation 2013 - Adviser Registration; Regulatory Jurisdiction - Adviser Registration; Regulatory Jurisdiction , Thursday, July 18, 2013
Transcripts  Transcripts Insurance Products - Insurance Products , Monday, January 14, 2013
Mutual Funds and Similar Products - Mutual Funds and Similar Products , Monday, January 14, 2013
Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Friday, February 22, 2013
Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares , Tuesday, April 30, 2013
Supervision and Compliance Programs (Legal Ethics) - Supervision and Compliance Programs (Legal Ethics) , Friday, June 28, 2013
The Customer Relationship - The Customer Relationship , Friday, June 28, 2013
Adviser Registration; Regulatory Jurisdiction - Adviser Registration; Regulatory Jurisdiction , Thursday, July 18, 2013
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Understanding Financial Products 2013: Insurance Products - Insurance Products , Monday, January 14, 2013
Understanding Financial Products 2013: Ethical Challenges and Other Hot Topics in Financial Products - Ethical Challenges and Other Hot Topics in Financial Products , Monday, January 14, 2013
Understanding Financial Products 2013: Mutual Funds and Similar Products - Mutual Funds and Similar Products , Monday, January 14, 2013
Broker-Dealer and Adviser Regulatory Compliance Forum 2013: Broker-dealer and Adviser Advertising Developments - Broker-dealer and Adviser Advertising Developments , Monday, February 25, 2013
Basics of Mutual Funds and Other Registered Investment Companies 2013: Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares , Thursday, May 02, 2013
Basics of Mutual Funds and Other Registered Investment Companies 2013 - The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation - The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation , Thursday, May 02, 2013
Fundamentals of Investment Adviser Regulation 2013 - Adviser Registration; Regulatory Jurisdiction - Adviser Registration; Regulatory Jurisdiction , Thursday, July 18, 2013
On-Demand Web Programs  On-Demand Web Programs Understanding Financial Products 2013 , Tuesday, January 22, 2013 , New York, NY
Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, March 06, 2013 , New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2013 , Wednesday, May 08, 2013 , New York, NY
Municipal Securities Activity by Broker-Dealers and Advisors 2013 , Friday, June 14, 2013 , New York, NY
Fundamentals of Broker-Dealer Regulation 2013 , Monday, July 08, 2013 , New York, NY
Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 31, 2013 , New York, NY
Live Seminar  Live Seminar Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , New York, NY
Understanding Financial Products 2014 , Monday, January 06, 2014 , New York, NY
Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants , Wednesday, February 19, 2014 , New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2014 , Wednesday, April 23, 2014 , New York, NY
Fundamentals of Broker-Dealer Regulation 2014 , Monday, June 23, 2014 , New York, NY
Fundamentals of Investment Adviser Regulation 2014 , Wednesday, July 16, 2014 , New York, NY
Municipal Securities Activity by Broker-Dealers and Advisors 2014 , Monday, September 29, 2014 , New York, NY
Financial Services Industry Regulatory Compliance & Ethics Forum 2014 , Wednesday, October 29, 2014 , New York, NY
Financial Services Industry Regulatory Compliance & Ethics Forum 2012 - CANCELLED , Thursday, November 01, 2012 , New York, NY
Broker-Dealer and Adviser Regulatory Compliance Forum 2013 , Wednesday, February 20, 2013 , New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2013 , Wednesday, April 24, 2013 , New York, NY
Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New York, NY
Understanding Financial Products 2013 , Monday, January 07, 2013 , New York, NY
Municipal Securities Activity by Broker-Dealers and Advisors 2013 , Friday, May 31, 2013 , New York, NY
Fundamentals of Investment Adviser Regulation 2013 , Wednesday, July 17, 2013 , New York, NY
Live Webcast  Live Webcast Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , New York, NY
Understanding Financial Products 2014 , Monday, January 06, 2014 , New York, NY
Broker-Dealer and Adviser Regulatory Compliance Forum 2014 , Wednesday, February 19, 2014 , New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2014 , Wednesday, April 23, 2014 , New York, NY
Fundamentals of Broker-Dealer Regulation 2014 , Monday, June 23, 2014 , New York, NY
Fundamentals of Investment Adviser Regulation 2014 , Wednesday, July 16, 2014 , New York, NY
Municipal Securities Activity by Broker-Dealers and Advisors 2014 , Monday, September 29, 2014 , New York, NY
Financial Services Industry Regulatory Compliance & Ethics Forum 2014 , Wednesday, October 29, 2014 , New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , Pittsburgh, PA
Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , Birmingham, AL
Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , Columbus, OH
Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , Philadelphia, PA
Financial Services Industry Regulatory Compliance & Ethics Forum 2013 , Wednesday, October 30, 2013 , Mechanicsburg, PA
Basics of Mutual Funds and Other Registered Investment Companies 2014 , Wednesday, April 23, 2014 , Boston, MA
Fundamentals of Broker-Dealer Regulation 2014 , Monday, June 23, 2014 , Boston, MA
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