Overview

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.

Publication Date: February 2018
ISBN: 978-1-4024-3065-7