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Sutherland Partners Eric A. Arnold, Clifford E. Kirsch and Brian L. Rubin are speaking at ALI-ABA’s upcoming Course of Study on The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation on September 23, 2011, in New York City.
Course discussion and analysis will include:
- FINRA’s New Suitability and Supervision Rules
- Enforcement and Litigation Developments
- FINRA Exam and Membership Update
- Operational and Financial Regulatory Developments
- Municipal Securities Activities
- The Retirement Marketplace
For more information and to register for this event, please click here.