FacultyFaculty/Author Profile
Clifford E. Kirsch

Clifford E. Kirsch

Eversheds Sutherland (US) LLP

New York, NY, USA


A seasoned securities lawyer with more than 25 years of regulatory, corporate counsel and private practice experience, Clifford Kirsch focuses his practice on investment management, where he regularly counsels clients on the comprehensive regulations governing advisers and broker-dealers, bank fiduciaries, pooled investment vehicles (including mutual funds, managed advisory accounts, bank collective investment funds, and retirement and insurance investment products), and the retirement marketplace.

Cliff advises many of the most prominent US dual-registrants (entities that are registered as both advisers and broker-dealers) with respect to the sale and distribution of investment products, compliance and supervisory procedures, and sales practice issues. A former chief legal officer for one of the country’s largest dually registered broker-dealer/advisers, Cliff routinely guides clients through US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities departments in connection with regulatory and examination matters. Cliff also works regularly with the preeminent securities, retirement and insurance industry trade associations, and serves as policy counsel to the Financial Services Institute (FSI), which is the industry trade association for independent broker-dealers.

Cliff began his career at the SEC, rising to the position of Assistant Director at the agency’s Division of Investment Management. His extensive experience and in-depth knowledge allows him to effectively advise clients, and he is a sought-after speaker and thought leader with respect to current regulatory issues. 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 also serves as editor of the Practising Law Institute’s blog, BD/IA: Regulation in Focus, which provides legal perspectives on current regulatory developments for broker-dealers and investment advisers.

In addition to his work at Eversheds Sutherland, Cliff is heavily involved in the community. In 2012, he co-founded the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Clifford E. Kirsch is associated with the following items:
Treatise  Treatise Mutual Funds and Exchange Traded Funds Regulation (Third Edition) - Mutual Fund Regulation
Broker-Dealer Regulation (Second Edition) - Broker-Dealer Regulation
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition) - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law
Financial Product Fundamentals: Law, Business, Compliance (Second Edition) - Financial Product Fundamentals: Law - Business - Compliance
Variable Annuities and Other Insurance Investment Products (Third Edition) - Variable Annuities and Variable Life Insurance Regulation (Second Edition)
Course Handbooks  Course Handbooks Securities Law and Practice 2017: How the SEC Works
Financial Services Industry Regulatory Compliance Forum 2017
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants
Fiduciary Investment Advice 2018
Basics of Mutual Funds and Other Registered Investment Companies 2018
Fundamentals of Investment Adviser Regulation 2018
Global Investment Funds 2018
Securities Law and Practice 2018: How the SEC Works
Bank Asset Management and Collective Investment Funds 2018
Financial Services RegTech and Regulatory Compliance Forum 2018
CHB Chapters  CHB Chapters 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
The Laws That Govern the Securities Industry - 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
Andrew Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Keynote Speech, Remarks Before ACI’s 33rd International Conference on the FCPA (November 30, 2016) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: a Regulatory Perspective,” Remarks Before the 19th Annual Operational Risk North America Conference, New York, NY (June 21, 2017) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
FINRA Report on Conflicts of Interest (October 2013) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
The Broker-Dealer and Adviser Uniform Standard of Care: A Chronology (February 7, 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Supervision of Representative Outside Activities (February 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Ch. 43: Wrap Fee Programs, Practicing Law Institute, Investment Adviser Regulation (3rd Edition) (October 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
Supervision of Broker-Dealer Advisory Activity (February 2018) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Investor Bulletin: Robo-Advisers (February 23, 2017) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
FINRA Report on Digital Investment Advice (March 2016) - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VII, Issue 2, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
U.S. Securities and Exchange Commission, Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdings (January 18, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
Form ADV (Paper Version): Uniform Application for Investment Adviser Registration—Part 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program: Examination Priorities - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
North American Securities Administrators Association: Rise of Fintech Raises New Concerns for Securities Regulators—Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors (February 15, 2018) - Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018
Overview of the FINRA Rulebook Framework (May 26, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Tuesday, July 24, 2018
Financial Industry Regulatory Authority (FINRA), Progress Report on FINRA360 (April 2018) - Fundamentals of Broker-Dealer Regulation 2018, Tuesday, July 24, 2018
U.S. Securities and Exchange Commission: Division of Trading and Markets—Investor Publications: Guide to Broker-Dealer Registration (October 6, 2009) - Fundamentals of Broker-Dealer Regulation 2018, Tuesday, July 24, 2018
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, The Evolving Market for Retail Investment Services and Forward-Looking Regulation—Adding Clarity and Investor Protection while Ensuring Access and Choice (May 2, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Tuesday, July 24, 2018
Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Speech, Remarks at the FINRA Annual Conference (May 22, 2018) - Fundamentals of Broker-Dealer Regulation 2018, Tuesday, July 24, 2018
Peter M. Rosenblum, Foley Hoag LLP, Ch. 51: Offshore/Non-U.S. Advisers, Practising Law Institute, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (3rd Edition) (June 2, 2016) - Global Investment Funds 2018, Thursday, September 20, 2018
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 2018: How the SEC Works, Monday, October 15, 2018
Harry S. Pangas and J. Clay Douglas, Foreign Private Issuers (“FPIs”): Reporting Requirements and Other Select Items (August 2017) (PowerPoint slides) - Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018
Bruce M. Bettigole, Harry S. Pangas and Payam Siadatpour, Legal Alert: Supreme Court Decision Imposes Strict Filing Deadline on Civil Actions Related to Securities Offerings (August 25, 2017) - Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018
Harry S. Pangas, Overview of the Registration Provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (August 2017) - Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018
Researching the Federal Securities Laws Through the SEC Website - Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018
The Laws That Govern the Securities Industry - Securities Law and Practice 2018: How the SEC Works, Monday, October 15, 2018
OCC’s Comptroller’s Handbook, Asset Management (AM), Collective Investment Funds (May 2014) - Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018
OCC Bulletin 2011-11, Risk Management Elements: Collective Investment Funds and Outsourced Arrangements (March 29, 2011) - Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018
Ch. 49B: Advisers to Collective Trust Funds, Practising Law Institute, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (3rd Edition) (June 2018) - Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018
OCC’s Comptroller’s Handbook, Asset Management (December 2000) - Bank Asset Management and Collective Investment Funds 2018, Tuesday, October 30, 2018
Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practising Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (October 2016) - Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018
FINRA Report on Conflicts of Interest (October 2013) - Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018
Commissioner Hester M. Peirce, U.S. Securities and Exchange Commission, The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference (May 11, 2018) - Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018
Web Segment  Web Segment Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Thursday, February 08, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - Fundamentals of Investment Adviser Regulation 2018, Wednesday, June 27, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Fundamentals of Investment Adviser Regulation 2018, Wednesday, June 27, 2018
The FINRA Framework - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
Laying the Groundwork – The Basics of the SEC and Securities Laws - Securities Law and Practice 2018: How the SEC Works, Wednesday, October 17, 2018
Common and Collective Trust Funds - Bank Asset Management and Collective Investment Funds 2018, Thursday, November 01, 2018
Approaching Conflicts in Financial Services Firms - Financial Services RegTech and Regulatory Compliance Forum 2018, Tuesday, November 13, 2018
MP3 Audio  MP3 Audio Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
The FINRA Framework - The FINRA Framework, Monday, July 23, 2018
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Wednesday, October 17, 2018
Common and Collective Trust Funds - Common and Collective Trust Funds, Thursday, November 01, 2018
Approaching Conflicts in Financial Services Firms - Approaching Conflicts in Financial Services Firms, Tuesday, November 13, 2018
Transcripts  Transcripts Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
The FINRA Framework - The FINRA Framework, Monday, July 23, 2018
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Wednesday, October 17, 2018
Common and Collective Trust Funds - Common and Collective Trust Funds, Thursday, November 01, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Thursday, February 08, 2018
Who is an Investment Adviser; Regulatory Jurisdiction - Who is an Investment Adviser; Regulatory Jurisdiction, Wednesday, June 27, 2018
How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 27, 2018
The FINRA Framework - The FINRA Framework, Monday, July 23, 2018
Laying the Groundwork – The Basics of the SEC and Securities Laws - Laying the Groundwork – The Basics of the SEC and Securities Laws, Wednesday, October 17, 2018
Common and Collective Trust Funds - Common and Collective Trust Funds, Thursday, November 01, 2018
Approaching Conflicts in Financial Services Firms - Approaching Conflicts in Financial Services Firms, Tuesday, November 13, 2018
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 14, 2018, New York, NY
Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Thursday, May 17, 2018, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 21, 2018, New York, NY
Fundamentals of Investment Adviser Regulation 2018, Monday, July 02, 2018, New York, NY
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 30, 2018, New York, NY
Global Investment Funds 2018, Thursday, September 27, 2018, New York, NY
Securities Law and Practice 2018: How the SEC Works, Monday, October 29, 2018, New York, NY
Bank Asset Management and Collective Investment Funds 2018, Tuesday, November 06, 2018, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 19, 2018, New York, NY
Treatise Chapters  Treatise Chapters Introduction - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Broker-Dealer Standard of Care - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Establishment and Maintenance of a Supervisory Structure - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Broker-Dealer Compliance Programs - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Senior Investors - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
SEC and FINRA Inspections - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Business Continuity Planning - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
An Introduction to Variable Insurance Products - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Tuesday, October 23, 2018
Mutual Funds - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Tuesday, October 23, 2018
Wrap Fee Programs; and Appendix 10A - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Tuesday, October 23, 2018
Introduction to Collective Investment Vehicles - Financial Product Fundamentals: Law, Business, Compliance (Second Edition), Tuesday, October 23, 2018
Investment Adviser Compliance Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
State Law Issues Relevant to SEC-Registered Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
The Jurisdictional Divide Between the SEC and the States - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Wrap Fee Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Registration and Disclosure: The Form ADV - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Advertising by Investment Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Mutual Fund Asset Allocation Programs - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Efforts to Impose a Uniform Standard of Care on Broker-Dealers and Advisers - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Selecting the Broker - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Insurance Company Agent Advisory Activity - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Business Continuity Planning - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Advisers to Collective Trust Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
The Advisory Contract - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Code of Ethics, Personal Trading, and Insider Trading Policies and Procedures - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Custody and Protection of Customer Accounts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
SEC Record-Keeping Requirements - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Broker-Dealer Status Issues Under the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Mutual Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Pay to Play - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Referrals - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Privacy of Client Financial Information: An Overview - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Investment Adviser Compensation - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Trading Conflicts - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Investment Adviser Status Questions; and Appendix 2A - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Proxy Voting - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Affiliated Brokerage - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Investment Restrictions - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Enforcement of the Advisers Act - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
SEC Inspections - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Variable Annuities in Retirement Plans; and Appendices 26A-26D - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
FINRA Suitability, Supervision, and Sales Practices - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Proxy Voting - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Friday, November 16, 2018
Regulation of Mutual Fund Sales Practices - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Friday, November 16, 2018
Statutory Material - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Issues Related to Product Administration - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Replacement of Insurance Products - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Introduction - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
SEC Regulation of Product Distribution - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Table of Authorities - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Redemption Fee Rule - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
State Insurance Regulation Applying to the Distribution of Variable Insurance Products - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Status of Insurance Products Under the Securities Act of 1933 - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
SEC Insurance Product Separate Account Exams; and Appendix 23A - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
The Funding Vehicle - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Variable Life Insurance Illustrations - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Registered Index-Linked Insurance Contracts - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Regulation of Variable Insurance Products Under the Investment Company Act of 1940 - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Asset Allocation Programs and Funds of Funds in Variable Insurance Products - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
FINRA Regulation of Product Distribution - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
State Contract Issues; and Appendix 10A - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Index - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Insurer Exchange Programs - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
An Introduction to Variable Insurance Products - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Separate Account Compliance Programs - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Variable Insurance Product Design - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Insurance-Linked Securities - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Advertising - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Status of Insurance Companies and Insurance Company Separate Accounts Under the Investment Company Act - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Private Placement Variable Life Insurance - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Introduction to Mutual Funds - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Friday, November 16, 2018
SEC Registration; and Appendices 9A-9D - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Table of Contents - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Marketing on the Internet - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
ERISA Issues - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Introduction to Life Settlements; and Appendix 30A - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Investment Adviser Compliance Programs - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Friday, November 16, 2018
Tax Treatment of Variable Contracts; and Appendices 5A-5B - Variable Annuities and Other Insurance Investment Products (Third Edition), Friday, November 16, 2018
Live Seminar  Live Seminar Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, New York, NY
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, New York, NY
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, New York, NY
Fundamentals of Broker-Dealer Regulation 2019, Monday, July 22, 2019, New York, NY
Global Investment Funds 2019, Monday, September 09, 2019, New York, NY
Securities Law and Practice 2019: How the SEC Works, Thursday, October 17, 2019, New York, NY
Bank Asset Management and Collective Investment Funds 2019, Tuesday, October 29, 2019, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2019, Thursday, November 21, 2019, New York, NY
Live Webcast  Live Webcast Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, New York, NY
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, New York, NY
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, New York, NY
Fundamentals of Broker-Dealer Regulation 2019, Monday, July 22, 2019, New York, NY
Global Investment Funds 2019, Monday, September 09, 2019, New York, NY
Securities Law and Practice 2019: How the SEC Works, Thursday, October 17, 2019, New York, NY
Bank Asset Management and Collective Investment Funds 2019, Tuesday, October 29, 2019, New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2019, Thursday, November 21, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, Nashville, TN
Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, Mechanicsburg, PA
Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, Pittsburgh, PA
Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019, Wednesday, February 06, 2019, Philadelphia, PA
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, Nashville, TN
Fiduciary Investment Advice 2019, Tuesday, April 02, 2019, Cleveland, OH
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, Cleveland, OH
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, Mechanicsburg, PA
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, Pittsburgh, PA
Basics of Mutual Funds and Other Registered Investment Companies 2019, Monday, May 06, 2019, Philadelphia, PA
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, Atlanta, GA
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, Mechanicsburg, PA
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, Cleveland, OH
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, Pittsburgh, PA
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, Philadelphia, PA
Fundamentals of Investment Adviser Regulation 2019, Monday, July 08, 2019, New Brunswick , NJ
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