Mutual Funds, Broker Dealers and Investment Advisers: Risks and Approaches to a Changing Market Place - Segment 5 of 42nd Annual Rocky Mountain Securities Conference Out of Stock
Quantity
May 2010
Segment 5 of 42nd Annual Rocky Mountain Securities Conference
Mutual Funds, Broker Dealers and Investment Advisers: Risks and Approaches to a Changing Market Place
Panel:
Carlo di Florio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission, John McDermott, Browstein Hyatt Farber Schreck LLP, and Steven W. Stone, Morgan, Lewis & Bockius LLP
Moderated by:
Kevin W. Goodman, Associate Regional Director, Regulation, Securities and Exchange Commission
5 pages
Description:
These materials were a speech from Carlo V. diFlorio, the director of the office of compliance inspections for the SEC, at the CCOutreach national seminar.
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $15.00 USD
- Member Price $10.00 USD
- General Credits
- Ethics Credits
- EDI Credits