What Does Dodd-Frank Mean For Investment Advisers: Best Practices and Tips for Avoiding Potential Pitfalls

28 January 2011 Minneapolis, MN Past Event

Location

Dougherty Financial Group LLC
90 South 7th Street
Suite 4300
Minneapolis, MN 55402

Agenda

12 p.m. CST
Please join us for a seminar where we will be covering topics related to recent decisions regarding Dodd-Frank.

Some of the topics we will cover include:

  • What you need to know to comply with Dodd-Frank
  • Navigating the Form ADV changes 
  • Hot topics and recent trends in SEC exams and enforcement

Presenters: Terry Nelson and Lisa Tharpe, Foley & Lardner LLP

Lunch will be served.

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What Does Dodd-Frank Mean For Investment Advisers: Best Practices and Tips for Avoiding Potential Pitfalls

Location

Dougherty Financial Group LLC
90 South 7th Street
Suite 4300
Minneapolis, MN 55402

Agenda

12 p.m. CST