FacultyFaculty/Author Profile
Clifford E. Kirsch

Clifford E. Kirsch

Eversheds Sutherland (US) LLP

New York, NY, USA


Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country’s largest dually- registered broker-dealer/advisers and then joined Sutherland (now Eversheds Sutherland) in 2006. He relies on his regulatory and in- house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.

Cliff is a frequent speaker at industry conferences, and is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (published by the Practising Law Institute).

Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Experience

Eversheds Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Eversheds Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.

Eversheds Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country. Eversheds Sutherland serves as regular primary outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.

Eversheds Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.

Eversheds Sutherland serves as counsel to the Coalition of Collective Trust Funds. Among other things, Sutherland monitors and reports on legal and regulatory matters affecting collective trust funds.

Professional Activities

Member, New York City Bar Association

Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania

Former Chair, FINRA Variable Products Committee

Former Board Member, National Society of Compliance Professionals

Clifford E. Kirsch is associated with the following items:
Treatise  Treatise Mutual Funds and Exchange Traded Funds Regulation - Mutual Fund Regulation
Broker-Dealer Regulation (2nd Edition) - 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 (2nd Edition) - Financial Product Fundamentals: Law - Business - Compliance
Course Handbooks  Course Handbooks Securities Law and Practice 2016: How the SEC Works
Financial Services Industry Regulatory Compliance & Ethics Forum 2016
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants
Basics of Mutual Funds and Other Registered Investment Companies 2017
Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze
Fundamentals of Investment Adviser Regulation 2017
Fundamentals of Broker-Dealer Regulation 2017
Securities Law and Practice 2017: How the SEC Works
CHB Chapters  CHB Chapters Researching the Federal Securities Laws Through the SEC Website - Securities Law and Practice 2016: How the SEC Works, Thursday, November 03, 2016
Standards of Professional Conduct for Attorneys Appearing and Practicing before the Commission in the Representation of an Issuer, 17 CFR Part 205 - Securities Law and Practice 2016: How the SEC Works, Thursday, November 03, 2016
The Laws That Govern the Securities Industry - Securities Law and Practice 2016: How the SEC Works, Thursday, November 03, 2016
U.S. Securities and Exchange Commission Speech: “Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement” by Andrew Ceresney, Director, Division of Enforcement at the Securities Enforcement Forum West, San Francisco, California (May 12, 2016) - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Monday, November 14, 2016
The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Monday, November 14, 2016
U.S. Securities and Exchange Commission Speech: “The SEC’s Whistleblower Program: The Successful Early Years” by Andrew Ceresney, Director, Division of Enforcement at the Sixteenth Annual Taxpayers Against Fraud Conference, Washington, D.C. (September 14, 2016) - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Monday, November 14, 2016
Beginning with the End in Mind: Planning for a Purpose-Built, Cost-Effective Risk Assessment, Chapter 35 from Corporate Law and Practice, a PLI Treatise - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Monday, November 14, 2016
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—The Broker-Dealer and Adviser Uniform Standard of Care (February 8, 2017) - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—Supervision (February 8, 2017) - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants (February 8, 2017) - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017
FINRA: 2017 Annual Regulatory and Examination Priorities Letter (January 2017) - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017
U.S. Securities Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2017 - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VI, Issue 3: The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (February 7, 2017) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Examination Priorities for 2017 - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Introduction to the Investment Advisers Act - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Riverfront Investment Group, LLC (July 14, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Robert W. Baird & Co. Incorporated (September 8, 2016) - Fundamentals of Investment Adviser Regulation 2017, Tuesday, June 27, 2017
Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
U.S. Securities and Exchange Commission, Division of Trading and Markets, Guide to Broker-Dealer Registration (December 12, 2016) - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer, 17 CFR Part 205 - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
Researching the Federal Securities Law Through the SEC Website - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
The Laws That Govern the Securities Industry - Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017
On-Demand Web Programs  On-Demand Web Programs Securities Law and Practice 2016: How the SEC Works, Wednesday, November 09, 2016, New York, NY
Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Thursday, November 17, 2016, New York, NY
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017, New York, NY
Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2017, Monday, May 01, 2017, New York, NY
Fundamentals of Investment Adviser Regulation 2017, Thursday, June 29, 2017, New York, NY
Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
Web Segment  Web Segment Developments Regarding the Role of the CCO in Financial Services - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Tuesday, November 15, 2016
Compliance and Legal Supervisory Liability in Financial Services - Financial Services Industry Regulatory Compliance & Ethics Forum 2016, Tuesday, November 15, 2016
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
Fund Marketing and Sale of Fund Shares - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
Who is an Investment Adviser; Regulatory Jurisdiction - Fundamentals of Investment Adviser Regulation 2017, Wednesday, June 28, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
The Broker-Dealer Customer Relationship - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio Developments Regarding the Role of the CCO in Financial Services - Developments Regarding the Role of the CCO in Financial Services, Tuesday, November 15, 2016
Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Tuesday, November 15, 2016
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 28, 2017
The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Transcripts  Transcripts Developments Regarding the Role of the CCO in Financial Services - Developments Regarding the Role of the CCO in Financial Services, Tuesday, November 15, 2016
Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Tuesday, November 15, 2016
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017
Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 28, 2017
The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Tuesday, November 15, 2016
Developments Regarding the Role of the CCO in Financial Services - Developments Regarding the Role of the CCO in Financial Services, Tuesday, November 15, 2016
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting - The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting, Friday, April 21, 2017
Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 28, 2017
The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Broker-Dealer Supervision; Compliance Programs: Recordkeeping - Broker-Dealer Supervision; Compliance Programs: Recordkeeping, Tuesday, July 18, 2017
Treatise Chapters  Treatise Chapters The Jurisdictional Divide Between the SEC and the States - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Registration and Disclosure: The Form ADV - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Referrals - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Advertising by Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Investment Adviser Compliance Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
State Law Issues Relevant to SEC-Registered Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Investment Restrictions - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
SEC Inspections - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Insurance Company Agent Advisory Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Investment Adviser Compensation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Broker-Dealer and Adviser Uniform Standard of Care - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Proxy Voting - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Business Continuity Planning - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Advisers to Collective Trust Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Enforcement of the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Mutual Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Broker-Dealer Status Issues Under the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Trading Conflicts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Code of Ethics, Personal Trading, and Insider Trading Policies and Procedures - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Pay to Play - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Custody and Protection of Customer Accounts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
SEC Record-Keeping Requirements - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
The Advisory Contract - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Privacy of Client Financial Information: An Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Investment Adviser Status Questions; and Appendix 2A - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Affiliated Brokerage - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Mutual Fund Asset Allocation Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Wrap Fee Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Selecting the Broker - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Thursday, June 22, 2017
Mutual Funds - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Wednesday, July 19, 2017
Introduction to Collective Investment Vehicles - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Wednesday, July 19, 2017
An Introduction to Variable Insurance Products - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Wednesday, July 19, 2017
Proxy Voting - Mutual Funds and Exchange Traded Funds Regulation, Friday, July 21, 2017
Investment Adviser Compliance Programs - Mutual Funds and Exchange Traded Funds Regulation, Friday, July 21, 2017
Introduction to Mutual Funds - Mutual Funds and Exchange Traded Funds Regulation, Friday, July 21, 2017
Broker-Dealer Standard of Care - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Establishment and Maintenance of a Supervisory Structure - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Business Continuity Planning - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Introduction - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Broker-Dealer Compliance Programs - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
SEC and FINRA Inspections - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Advertising - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Variable Life Insurance Illustrations - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Separate Account Compliance Programs - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
SEC Insurance Product Exams; and Appendix 22A - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Broker-Dealer and Adviser Uniform Standard of Care - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
An Introduction to Variable Insurance Products - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
SEC Registration; and Appendices 8A-8D - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Suitability - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
State Securities Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
SEC Regulation of Product Distribution - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Insurer Exchange Programs - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
Live Seminar  Live Seminar Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, New York, NY
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, New York, NY
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, New York, NY
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New York, NY
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
Securities Law and Practice 2018: How the SEC Works, Friday, October 26, 2018, New York, NY
Live Webcast  Live Webcast Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, New York, NY
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, New York, NY
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Thursday, May 10, 2018, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, New York, NY
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New York, NY
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018, New York, NY
Securities Law and Practice 2018: How the SEC Works, Friday, October 26, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, Indianapolis, IN
Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, Nashville, TN
Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, Atlanta, GA
Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, Cleveland, OH
Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, Cincinnati, OH
Securities Law and Practice 2017: How the SEC Works, Friday, October 27, 2017, New Brunswick , NJ
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Nashville, TN
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Pittsburgh, PA
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Indianapolis, IN
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Philadelphia, PA
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Mechanicsburg, PA
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, New Brunswick , NJ
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Cleveland, OH
Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 08, 2017, Atlanta, GA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Cleveland, OH
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Nashville, TN
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Mechanicsburg, PA
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Philadelphia, PA
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Pittsburgh, PA
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Indianapolis, IN
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, New Brunswick , NJ
Fiduciary Investment Advice 2018, Thursday, May 10, 2018, Atlanta, GA
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, Atlanta, GA
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, Indianapolis, IN
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, Mechanicsburg, PA
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, New Brunswick , NJ
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, Pittsburgh, PA
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018, Philadelphia, PA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New Brunswick , NJ
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Pittsburgh, PA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Mechanicsburg, PA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Atlanta, GA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Philadelphia, PA
Live Audio Webcast  Live Audio Webcast Robo-Advisers and Digital Advice: Preparing for an SEC Exam , Tuesday, November 28, 2017
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