This Course Handbook was compiled for the program, Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Publication Date: February 2019
ISBN: 978-1-4024-3304-7
Page Count: 50 pages
Number of Volumes: 1