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| Web Seminars: for Current Customers. |
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New Customer Training |
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For Broker-Dealers, Investment Advisers & Hedge Funds |
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Resources™ & Resources Plus™ Technology Training
July 23, 2008, 11am Pacific Time, FREE | Register
July 30, 2008, 11am Pacific Time, FREE | Register
August 06, 2008, 11am Pacific Time, FREE | Register |
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Monthly Compliance Seminars |
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For Investment Advisers & Hedge Funds |
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Best Execution Reviews: From Traders to Financial Planners: Methods for Documenting Best Executions
August 19, 2008, 1pm Pacific Time, FREE | Register
Solicitor Arrangements: Due Diligence; Licensing and Registration; Ongoing monitoring and recordkeeping
September 16, 2008, 1pm Pacific Time, FREE | Register
The Fiduciary Standard and the Fiduciary Standard Review
October 21, 2008, 11am Pacific Time, FREE | Register |
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For Broker-Dealers |
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Broker-Dealer Regulatory Initiatives
August 14, 2008, 1pm Pacific Time, FREE | Register
September 11, 2008, 1pm Pacific Time, FREE | Register
October 09, 2008, 1pm Pacific Time, FREE | Register |
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