Study on Investment Advisers and Broker-Dealers As Required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act This is a Study of the Staff of…

1. Presented By: Tom Pessemier VP of Mortgage Lending 2. One of the Ten Largest Retail Mortgage Companies in the U.S. • Founded in 2000 by President and CEO Victor Ciardelli…

1. Preparing for the Dodd Frank SEC Deadline Dial-in number: (866) 660-4683 Participant code: 57543140 2. Speaking TodayDavid Guin Mr. Guin focuses on securities law matters…

1. ARBITRATION ANDCLASS ACTION WAIVERS Presenters Michael Dommermuth McGloin, Davenport, Severson and Snow, P.C. 1600 Stout Street, Suite 1600 Denver, CO 80202 720.536.3550…

1. The Dodd-Frank Wall Street Reform and Consumer Protection Act: Titles III and VI, Regulation of Depository Institutions and Depository Institution Holding CompaniesM.…

1. Conflict minerals and beyond Part three: Optimizing the supply chain kpmg.com KPMG INTERNATIONAL 2. 03 04 11 12 Drivers of optimization How to optimize the supply chain…

1. Page |1 International Association of Risk and Compliance Professionals (IARCP) 1200 G Street NW Suite 800 Washington, DC 20005-6705 USA Tel: 202-449-9750 www.risk-compliance-association.com…

1.  Impact of “Conflict Minerals”on Regulatory ComplianceDRC is in central southern Africa, and was formerly known as theBelgian Congo and later Zaire. There is a short…

1. AS SENTCOM [email protected] w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044Section 1502Conflict MineralsSTEP 1 – Scope Assessment and…

1. Trademark Prosecution Luncheon May 15, 2014 2. USPTO • April 2014 version of TMEP published – clarifications/ revisions regarding: – Trade dress examination –…