Eric A. Arnold,
Clifford E. Kirsch,
Michael B. Koffler,
Susan S. Krawczyk,
Brian L. Rubin,
Holly H. Smith,
W. Mark Smith
April 16, 2008
Sutherland New York Office
Grace Building
1114 Avenue of the Americas
40th Floor
New York,
New York
10036
On April 16, 2008, Sutherland’s regulatory and enforcement legal practice will hold a forum for attorneys and compliance officers affiliated with broker-dealers.
Sutherland attorneys, including former SEC and NASD (now FINRA) staff, will provide important information regarding key regulatory issues, including:
- Sales to Seniors
- Recruiting and Representative Transitions
- Compensation Issues
- Adviser/Financial Planning
- Compliance
- Financial, Retirement and International Market Issues
There is no cost to attend this program. Lunch will be served.
© 2012 Sutherland Asbill & Brennan LLP
