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The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation

September 23, 2011

ALI-ABA

Sutherland Partners Eric A. Arnold, Clifford E. Kirsch and Brian L. Rubin are speaking at ALI-ABA’s upcoming Course of Study on The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation on September 23, 2011, in New York City. 

Course discussion and analysis will include:

  • FINRA’s New Suitability and Supervision Rules
  • Enforcement and Litigation Developments
  • FINRA Exam and Membership Update
  • Operational and Financial Regulatory Developments
  • Municipal Securities Activities
  • The Retirement Marketplace

For more information and to register for this event, please click here.

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Washington, DC
Adam C. Pollet, Associate
Washington, DC
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