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On April 16, 2008, Sutherland’s regulatory and enforcement legal practice will hold a forum for attorneys and compliance officers affiliated with broker-dealers.
Sutherland attorneys, including former SEC and NASD (now FINRA) staff, will provide important information regarding key regulatory issues, including:
- Sales to Seniors
- Recruiting and Representative Transitions
- Compensation Issues
- Adviser/Financial Planning
- Financial, Retirement and International Market Issues
There is no cost to attend this program. Lunch will be served.