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Attorneys from Sutherland's securities regulatory, enforcement and litigation practice groups will host securities symposia for attorneys and compliance officers affiliated with broker-dealers and investment advisers. We are pleased to offer this program at The Hotel Minneapolis in Minneapolis, Minnesota.
Topics addressed will include:
- How to Handle Regulators
- Retirement Market Developments
- Privacy and Information Security
- Compensation and Advisor Issues
- Sales to Seniors
- Monitoring Representatives
- Subprime & ARS Litigation
There is no cost to attend this program. Lunch will be served.
For more information and to register, click here.