On-Demand   MP3 Audio

Adviser Registration; Regulatory Jurisdiction

Recorded on: Jul. 18, 2013
Running Time: 01:07:57

Running Time Segment Title Faculty Format
[00:56:23] Fundamentals of Investment Adviser Regulation 2013 - Overview of Program; Who is an Investment Adviser? Kenneth J. Berman ~ Debevoise & Plimpton LLP
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[01:07:57] Fundamentals of Investment Adviser Regulation 2013 - Adviser Registration; Regulatory Jurisdiction Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP
G. Philip Rutledge ~ Bybel Rutledge LLP
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[01:00:57] Fundamentals of Investment Adviser Regulation 2013 - Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship Kay A. Gordon ~ Drinker Biddle & Reath LLP
John L. Bronson ~ U.S. Businesses Regulatory Counsel, Prudential Financial
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[01:07:14] Fundamentals of Investment Adviser Regulation 2013 - Regulation of Advisers (Part II): Brokerage and Trading Practices Steven W. Stone ~ Morgan Lewis & Bockius LLP
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[01:13:27] Fundamentals of Investment Adviser Regulation 2013 - Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments (Includes Legal Ethics) Michael B. Koffler ~ Sutherland Asbill & Brennan LLP
Steven A. Yadegari ~ Executive Vice President and General Counsel, Cramer Rosenthal McGlynn, LLC
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[01:18:04] Fundamentals of Investment Adviser Regulation 2013: Advisers to Private Funds Peter M. Rosenblum ~ Foley Hoag LLP
Antoinette Lazarus ~ Chief Compliance Officer, Landmark Partners
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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 Recorded July, 2013 in New York

Adviser Registration; Regulatory Jurisdiction [01:07:57]
  • State regulation
  • The interplay between the SEC and the states
  • Registration as an Adviser: The Form ADV
  • Registration of Associated Persons
The purchase price of this Web segment includes the following article(s) from the Course Handbook available online:
  • Introduction to the Investment Advisers Act
    Clifford E. Kirsch
  • State Registration of Investment Advisers
    G. Philip Rutledge
  • Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers
    Clifford E. Kirsch

Presentation Material


  • Adviser Registration; Regulatory Jurisdiction
    Clifford E. Kirsch
  • Adviser Registration; Regulatory Jurisdiction
    G. Philip Rutledge
Speaker(s)
Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP
G. Philip Rutledge ~ Bybel Rutledge LLP

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