Business Models Portfolio Manager
Learn about the Portfolio Manager, its structure, how to implement it and the registration and compliance issues.
Published on April 08, 2010
Business Models Investment Adviser
Learn about the Investment Adviser business model, its structure, how to implement it, and the registration and compliance issues.
Published on October 25, 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act Financial Regulatory Reform Legislation
Listen to Wesley Nissen discuss the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Published on September 17, 2012
How to Choose the Most Appropriate Business Model for Your Practice
During this interactive session, top securities law attorney Guy Lander will walk you through fundamental facets of three PFP business models, including: Securities Broker-Dealer, Registered Investment Adviser and Referral/Solicitor Agreements with Investment Companies.
Published on April 19, 2010
Financial Services Reform
Stay up to date on legislative and regulatory issues relating to financial services reform.
Published on April 30, 2013
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