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Independent Broker-Dealer Regulatory Forum

April 16, 2008

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
  • Compliance
  • Financial, Retirement and International Market Issues

There is no cost to attend this program.  Lunch will be served.

Related Practices/Industries

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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.

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Videocast: DOL Fiduciary Rule Litigation Impacts
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