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Inadvertent Custody and Senior Investor Issues

October 11, 2017
4:00 PM - 6:00 PM Central


Crescent Club
6075 Poplar Ave
Suite 909
Memphis, Tennessee


October 11, 2017
4:00 PM - 6:00 PM Central

Join us for a discussion on the SEC's guidance for investment advisers issued earlier this year addressing custody of client assets and standing letters of authorization, and also for a discussion of the implementation of FINRA's Senior Investor Rule and how it compares to the various requirements imposed by state statutes and/or state regulators, including those who have adopted the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation.

Continuing Education Credit:
This program is pending CLE credit approval in the state of Tennessee.

Events Contact

Heather Stripling
T: 205.250.8332
  Email Professional


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