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Fiduciary Investment Advice 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The regulatory framework applying to the standard of conduct related to personalized financial advice continues to be in flux.  DOL is actively reconsidering its rulemaking that dramatically changes the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisers and service providers in the retirement marketplace. At the same time, the SEC is reported to be advancing internally its consideration ...

Basics of Mutual Funds and Other Registered Investment Companies 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

In addition to the credits listed to the right, this program also offers credit for CFP certification. Basics of Mutual Funds and Other Registered Investment Companies 2018 has been approved for 7.50 CE credits. Why You Should Attend This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled ...

Fundamentals of Investment Adviser Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2018 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client ...

Fundamentals of Broker-Dealer Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend Major changes in the broker-dealer industry and regulatory framework are anticipated as a result of the new administration and new senior leadership at the SEC that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, the broker-dealer industry is undergoing change as new rules put ...

Global Investment Funds 2018

Program  Program

Mark Your Calendar.  More Information to Come!

Securities Arbitration 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for the use of experts and discovery in arbitration proceedings. They will explore the ethical challenges involved in technology and security in arbitration and mediations ...

Securities Law and Practice 2018: How the SEC Works

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the ...

Advanced Venture Capital 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!


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