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The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation

October 8-9, 2009

Sutherland Partner Clifford E. Kirsch is the Program Chair and Partner Eric A. Arnold is a member of the faculty for the American Law Institute–American Bar Association (ALI-ABA) course, "The Financial Services Regulatory Revolution:  Navigating the New World of Broker-Dealer and Investment Adviser Regulation," October 8-9, 2009, at the Levin Institute in New York City.  Eric’s presentation, "Legal Issues in Times of Change," will include business consolidations, new lines of businesses, mergers and acquisitions, and changes of control.

This annual course of study is designed for lawyers and compliance professionals who deal with regulatory compliance issues at broker-dealers and advisers.  In contrast to many other programs, this course brings together the critical regulatory developments that apply to both broker-dealers and advisers.  In addition to providing up-to-date current regulatory developments, the course will strive to provide practical advice about the steps you and your firm need to take in order to stay ahead of the curve.  Panel discussions will be led by today’s leading legal and compliance professionals, including senior staff at FINRA and SEC.

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

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