Course Handbook  Course Handbook

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Publication Date: February 2018 Number of Volumes: 1
ISBN Number: 9781402430657 Page Count: 148 pages

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Table of Contents
Chapter 1: The Broker-Dealer and Adviser Uniform Standard of Care: A Chronology (February 7, 2018) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 2: Supervision of Representative Outside Activities (February 2018) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 3: FINRA Regulatory Framework Applicable to Dual Registrants Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial
Chapter 4: Ch. 43: Wrap Fee Programs, Practicing Law Institute, Investment Adviser Regulation (3rd Edition) (October 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 5: Supervision of Broker-Dealer Advisory Activity (February 2018) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 6: U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 7: U.S. Securities and Exchange Commission, Investor Bulletin: Robo-Advisers (February 23, 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 8: FINRA Report on Digital Investment Advice (March 2016) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Index

This Course Handbook was compiled for the program, Broker-Dealer Retail Wealth Management 2018 Current Legal and Compliance Issues Facing Dual Registrants.

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.

Chairperson(s)
Clifford E Kirsch, Eversheds Sutherland (US) LLP
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