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Coping with Broker/Dealer Regulation and Enforcement 2008

Chair(s): Carmen J. Lawrence, Neal E. Sullivan

Practice Area: Enforcement (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Oct 2008 i Other versions can be found in the Related Items tab.
ISBN: 9781402411304
PLI Item #: 14081
CHB Spine #: B1701

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Table of Contents
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Front Matter
Table of Contents
Chapter 1. FINRA Disciplinary Actions
Chapter 2. Outline for Enforcement Session: SEC and SRO Enforcement Developments
Chapter 3. Sampling of Recent State Regulatory and Enforcement Actions
Chapter 4. Current Issues in Broker-Dealer Regulation in the Post-Credit Crisis Environment
Chapter 5. Changing Role of In-House Counsel Coping with Broker-Dealer Regulation and Enforcement
Chapter 6. Conflicts of Interest, Sales Practices and Trading: Recent SEC Cases against Regulated Entities
Chapter 7. Recent Developments in Securities Litigation
Index