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Fundamentals of Broker-Dealer Compliance

September 16, 2008

Webinar

Sutherland Partner Brian L. Rubin is speaking as part of a Webinar on the Fundamentals of Broker-Dealer Compliance on September 16, 2008. This program will provide information on the following broker-dealer topics: exam priorities; dealing with regulators; investigations and enforcement proceedings; written supervisory procedures; net capital; anti-money laundering; exception reports; and required broker-dealer reviews and testing and how they should be documented.

For more information, click here.

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