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The Customer Relationship

Recorded on: Jul. 3, 2012
Running Time: 00:53:20

Full Transcript:


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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York.

Lecture Topics  [00:53:20]

The Customer Relationship  [00:53:20]
  • Suitability
  • Rules governing the customer account
  • Disclosure
The purchase price of this segment includes the following article from the Course Handbook available online:

  • The Customer Relationship
    Susan S. Krawczyk
  • Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure
    Clifford E. Kirsch, Issa J. Hanna

Presentation Material

  • The Customer Relationship
    Susan S. Krawczyk
Speaker(s)
Clifford E. Kirsch ~ Sutherland
Susan S. Krawczyk ~ Sutherland
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