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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.