Morgan Lewis

2010 NSCP National Meeting Baltimore, MD

  • date(s):

    November 1, 2010
    - November 3, 2010

  • location:

    Baltimore, MD

related attorney(s):

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Morgan Lewis partner Steven W. Stone will present on "BD/IA – Dual Registrant Issues" at the 2010 NSCP National Meeting.

Topics to be discussed:

  • How to apply IA Rules to a BD (custody, code of ethics, principal trades)
  • How to apply BD rules to an IA (suitability)
  • Information barriers and managing material non-public information
  • Recordkeeping
  • Supervision

When:
November 1-3, 2010

Where:
Hilton Baltimore
401 West Pratt Street
Baltimore, MD 21201

For more information or to register, please use the above regisitration link.

register/get more info