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October 21, 2010 - October 22, 2010
Sutherland Partner Brian L. Rubin is speaking at the ALI-ABA The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision, and Sales Practices Program, October 21-22, 2010, in Washington, D.C. Brian’s presentation, "Transitioning Representatives: Legal and Compliance Issues When Representatives Jump Firms," will discuss reg S-P considerations, handling regulation opt-in opt-out mailings for departing reps, and structuring loans and payment of bonuses, and will review SEC and FINRA enforcement cases.
Sutherland Partner Clifford E. Kirsch is the planning chair of this event. Topics discussed during this event will include: the Dodd-Frank Wall Street Reform and Consumer Protection Act and what it means for broker-dealers and advisers, alternative investments, dealing with transitioning representatives, developments regarding broker-dealer and adviser marketing and advertising, including social networking, and SEC and FINRA enforcement and examination developments.
For more information and to register for the event, click here.