Mutual Funds Developments

November 13, 2017

Credits: 3.5 Transitional NY Professional Practice credits, 3.25 CA General credits, and 3.25 IL General credits; CLE credit is pending in GA, KY, PA, and TX


  • 1940 Act and Advisers Act Issues
  • Robo-Advisor Developments and Broker-Dealer Developments
  • Commodities Law Developments 
  • SEC Examination/Enforcement Issues

Presenters: Greg Sheehan, Dan O’Connor, Paulita Pike, Tom Hiller, Deborah Monson, Dan Ward and Brynn Rail

Please contact for more information.