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ARTICLE · 12 JANUARY 2007

Practical Compliance Advice For Broker-Dealers

Sutherland Asbill & Brennan LLP
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The NASD held its "Face-to-Face with NASD Conference" in New York on October 25, 2006. The conference provided practical compliance advice for broker-dealers in a number of areas including: retirement income planning; gifts and entertainment; and the 3013 certification. This Alert summarizes some substantive highlights from the conference.

United StatesStrategy
Clifford Kirsch
Clifford Kirsch

The NASD held its "Face-to-Face with NASD Conference" in New York on October 25, 2006. The conference provided practical compliance advice for independent broker-dealers in a number of areas including: retirement income planning; gifts and entertainment; and the 3013 certification. This Alert summarizes some substantive highlights from the conference.

Compliance Considerations in Retirement Income Planning

John Komoroske, NASD Vice President moderated this panel and was joined by Andrew Favret, Associate Vice President and Counsel, NASD Enforcement; Phillip Gillespie, Senior Vice President and Deputy General Counsel, OppenheimerFunds, Inc.; and Stephen Mitchell, Director, Merrill Lynch.

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