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Sutherland Securities Symposium

July 31, 2008

On July 31, 2008, Sutherland’s regulatory and enforcement legal practice will hold a securities symposium for attorneys and compliance officers affiliated with broker-dealers and investment advisers.

Sutherland attorneys, including former SEC and NASD (now FINRA) staff, will provide important information regarding key regulatory issues, including:

  • Sales to Seniors
  • Variable Product Sales
  • Financial Planning and Advisory Issues
  • Representative Recruiting and Transitions
  • Handling Exams and Dealing with Regulators

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

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

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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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