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Coping with Broker/Dealer Regulation & Enforcement 1998
Author(s):
Robert M. Romano
Practice Area:
Corporate & Securities
Published:
Mar 1998
ISBN:
N/A
PLI Item #:
209065
CHB Spine #:
B1041
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Front Matter
Table of Contents
Chapter 1. COPING WITH BROKER/DEALER REGULATION & ENFORCEMENT
Chapter 2. THE IMPACT OF JOHNSON VS. S.E.C.: THE SEC GRAPPLES WITH THE PUNITIVE EFFECT OF A SUSPENSION
Chapter 3. SELECT CONTESTED SEC CASES AND SECURITIES PROSECUTIONS IN 1997
Chapter 4. STATE BROKER-DEALER ENFORCEMENT
Chapter 5. STATE REGULATION
Chapter 6. REPORT OF THE TASK FORCE ON THE FUTURE OF SHARED STATE AND FEDERAL SECURITIES REGULATION
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