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    Advanced Swaps & Other Derivatives 2012

    Handbook  Course Handbook

    Course Handbook from the program Advanced Swaps & Other Derivatives 2012, held October 2012.

    Advanced Swaps & Other Derivatives 2013

    Handbook  Course Handbook

    Course Handbook from the program Advanced Swaps & Other Derivatives 2013, held October, 2013.

    Advanced Swaps & Other Derivatives 2014

    Handbook  Course Handbook

    Course Handbook from the program Advanced Swaps & Other Derivatives 2014, held October, 2014.

    Auditor Liability in the Current Environment 2009: How Attorneys & Auditors Can Protect Themselves & Their Clients

    Handbook  Course Handbook

    Course Handbook from the program Auditor Liability in the Current Environment 2009: How Attorneys & Auditors Can Protect Themselves & Their Clients, held October, 2009.

    Basics of Mutual Funds and Other Registered Investment Companies 2013

    Handbook  Course Handbook

    Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2013, held April, 2013.

    Basics of Mutual Funds and Other Registered Investment Companies 2014

    Handbook  Course Handbook

    Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2014, held April, 2014.

    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.

    Broker-Dealer and Adviser Regulatory Compliance Forum 2013

    Handbook  Course Handbook

    Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2013, held February, 2013.

    Broker-Dealer Regulation

    Treatise  Treatise

    Published: November 2011
    Last Updated: September 2013

    Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution ...

    Broker-Dealer Regulation and Enforcement 2013

    Handbook  Course Handbook

    Course Handbook from the program Broker/Dealer Regulation and Enforcement 2013, held October, 2013.

    Broker/Dealer Regulation and Enforcement 2012

    Handbook  Course Handbook

    Course Handbook from the program Broker/Dealer Regulation and Enforcement 2012, held October, 2012.

    Broker/Dealer Regulation and Enforcement 2014

    Handbook  Course Handbook

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

    Dodd-Frank Wall Street Reform and Consumer Protection Act--A Summary

    Treatise  Treatise

    Published: November 2010

    This past year has seen some enormous changes in the law. The sweeping Dodd-Frank Act, the various stimulus legislation, and the regulatory changes by the SEC, the Fed, and the U.S. Treasury have had a significant impact on many legal practice areas such as business, corporate, securities, banking, tax, and employment.  Dodd-Frank Wall Street Reform and Consumer Protection Act – A Summary provides a practical overview of the historic new ...

    ERISA Fiduciary Investment Basics 2013

    Handbook  Course Handbook

    Course Handbook from the program ERISA Fiduciary Investment Basics 2013, held January, 2013.

    ERISA Fiduciary Investment Basics 2014

    Handbook  Course Handbook

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

    Financial Institutions Answer Book 2013: Law - Governance - Compliance

    Treatise  Treatise

    Published: June 2013

    Reflecting the many statutory and regulatory changes made since the beginning of the recent economic downturn, the newly published Financial Institutions Answer Book 2013 provides, in a handy Q&A format, a comprehensive overview of the complex federal requirements regulating financial institutions in the United States. Every aspect of a financial institution life cycle is covered, from understanding the differences in regulation based on what ...

    Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze

    Handbook  Course Handbook

    Course Handbook from the program Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze, held April, 2014.

    Financial Services Industry Regulatory Compliance & Ethics Forum 2009

    Handbook  Course Handbook

    Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2009, held November, 2009.

    Fundamentals of Broker-Dealer Regulation 2013

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2013, held June, 2013.

    Fundamentals of Broker-Dealer Regulation 2014

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2014, held June, 2014.

    Fundamentals of Investment Adviser Regulation 2013

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Investment Adviser Regulation 2013, held July, 2013.

    Fundamentals of Investment Adviser Regulation 2014

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Investment Adviser Regulation 2014, held July, 2014.

    Fundamentals of Swaps & Other Derivatives 2012

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2012, held October, 2012.

    Fundamentals of Swaps & Other Derivatives 2013

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2013, held October, 2013.

    Fundamentals of Swaps & Other Derivatives 2014

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2014, held October, 2014.

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    Featured Faculty/Authors
    Nathan A. Schachtman

    Nathan A. Schachtman ~ Nathan A. Schachtman, Esq., PC

    Gary A. Adler

    Gary A. Adler ~ Bingham McCutchen LLP

    Sabine Chalmers

    Sabine Chalmers ~ Chief Legal & Corporate Affairs Officer, Anheuser-Busch InBev

     
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