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Broker Dealer and Dual Registrant Sessions Individual Ascendant ComplianceCast sessions: $195 each Attendee Name / Firm Work Telephone Select a Session October 13, 2010 December 8, 2010 February 9, 2011 March 9, 2011 May 11, 2011 July 13, 2011 Purchase any four Ascendant ComplianceCasts: $695   Save over 10% over single-session price. Attendee Name / Firm Work Telephone Select a Session October 13, 2010 December 8, 2010 February 9, 2011 March 9, 2011 May 11, 2011 July 13, 2011 Select a Session October 13, 2010 December 8, 2010 February 9, 2011 March 9, 2011 May 11, 2011 July 13, 2011 Select a Session October 13, 2010 December 8, 2010 February 9, 2011 March 9, 2011 May 11, 2011 July 13, 2011 Select a Session October 13, 2010 December 8, 2010 February 9, 2011 March 9, 2011 May 11, 2011 July 13, 2011 Refund/Cancellation Policy: There is no penalty for canceling registration for an individual ComplianceCasts seminar. Registration can be rolled over to a future ComplianceCast of choice. Advance notice of a cancellation is appreciated. In the event of canceling an annual subscription the refund will be pro-rated based on the number of sessions attended, minus an administration charge of $150.

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Special Form ADV ComplianceCast September 9, 2010 2-3pm: $99
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Purchase any four Ascendant ComplianceCasts: $695  
Save over 10% over single-session price. Includes access to two Ascendant Compliance Roundtables!

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Select a Session	October 20, 2010 November 17, 2010 January 19, 2011 February 26, 2011 April 20, 2011 May 18, 2011 July 20, 2011 August 17, 2011
Select a Session	October 20, 2010 November 17, 2010 January 19, 2011 February 26, 2011 April 20, 2011 May 18, 2011 July 20, 2011 August 17, 2011
Select a Session	October 20, 2010 November 17, 2010 January 19, 2011 February 26, 2011 April 20, 2011 May 18, 2011 July 20, 2011 August 17, 2011
Select a Session	October 20, 2010 November 17, 2010 January 19, 2011 February 26, 2011 April 20, 2011 May 18, 2011 July 20, 2011 August 17, 2011
Select two Ascendant Compliance Roundtable sessions!
Select a Session	September 15, 2010 December 15, 2010 March 16, 2011 June 15, 2011 September 21 2011
Select a Session	September 15, 2010 December 15, 2010 March 16, 2011 June 15, 2011 September 21 2011

Become a Member of the Ascendant Compliance Roundtable NetWork: $995 annually  
Save over 35%! Receive access to eight ComplianceCasts, exclusive access to four Ascendant Compliance Roundtables, unlimited access to archived ComplianceCasts, and preferred pricing for all Ascendant Compliance conferences and topical seminars throughout the year!

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Includes eight ComplianceCasts Sessions and all four Ascendant Compliance Roundtable Sessions

*CCO Roundtable ComplianceCasts can not be purchased separately from ComplianceCasts.

Refund/Cancellation Policy: There is no penalty for canceling registration for an individual ComplianceCasts seminar. Registration can be rolled over to a future ComplianceCast of choice. Advance notice of a cancellation is appreciated. In the event of canceling an annual subscription the refund will be pro-rated based on the number of sessions attended, minus an administration charge of $150.

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