FacultyFaculty/Author Profile
Robert N. Sobol

Robert N. Sobol

TD Ameritrade
Associate General Counsel, Products
Jersey City, NJ, USA


Rob has been in the securities law industry for over 25 years.  His legal expertise ranges from the Investment Company Act of 1940 and the Investment Advisors Act of 1940 (including robo-advice, managed account programs and registered investment advisory) to the Securities Act of 1933, the Exchange Act of 1934, international cross-border securities law, ERISA and technology matters.   He joined TD Ameritrade in 2009.  His responsibilities include Distribution and Other Matters Relating to Alternative Investments and Mutual Funds, SDBA (Self-Directed Brokerage Accounts for Retirement Plans), WPS (Workplace Solutions – including Designated Brokerage and Stock Plan Services), and ERISA and 529 matters.  He has authored numerous securities law articles, particularly for the Journal of Investment Compliance and has been cited by Seligman Loss , and in law school textbooks and legal decisions. . His B.A. in History is from Temple University and his J.D. is from Widener University School of Law, where graduated cum laude and was a member of,  and published on,  law review (The Delaware Journal of Corporate Law).
Robert N. Sobol is associated with the following items:
Web Segment  Web Segment The DOL Conflicts Rule - Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Thursday, April 27, 2017
MP3 Audio  MP3 Audio The DOL Conflicts Rule - The DOL Conflicts Rule , Thursday, April 27, 2017
Transcripts  Transcripts The DOL Conflicts Rule - The DOL Conflicts Rule , Thursday, April 27, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The DOL Conflicts Rule - The DOL Conflicts Rule , Thursday, April 27, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze, Friday, April 28, 2017, New York, NY
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