Event

PLI Fundamentals of Investment Adviser Regulation 2015

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July 15, 2015
09:15 AM - 05:00 PM ET


At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers.

Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry. The program will also look at particular issues raised in connection with broker-dealers offering of advisory services.

Steven Stone will present "Regulation of Advisers (Part II): Brokerage and Trading Practices".