Events

Search for Events
Search by date
Choose From Date
Choose To Date
SearchClear

FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape – Staying Ahead of the Curve

September 18, 2008 - September 19, 2008

American Law Institute – American Bar Association (ALI-ABA) Program

Sutherland Partners Clifford E. Kirsch, Neil S. Lang and Brian L. Rubin are participating in an American Law Institute – American Bar Association (ALI-ABA) program, September 18-19, 2008, at the Fordham University School of Law in New York City. Cliff is chairing this two-day course, and Neil and Brian will be faculty members. The program, an annual course of study on FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape – Staying Ahead of the Curve, has emerged as the leading course of its type for those lawyers and compliance professionals who deal with regulatory compliance issues at broker-dealers and advisers. The course is of interest to in-house legal and compliance staff at broker-dealers and advisers, senior business and risk officers at firms, and outside legal counsel and compliance professionals who provide advice on these issues.

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

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2016 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
MYBRIEFCASE
Add this page to MYBRIEFCASE
Add Page to MYBRIEFCASE
Events - FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape – Staying Ahead of the Curve
Current MYBRIEFCASE Pages
Save ChangesDownload MYBRIEFCASEClear All