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Coping with Broker/Dealer Regulation & Increasing Enforcement 1997
Chair(s):
Robert M. Romano
Practice Area:
Corporate & Securities
Published:
Mar 1997
ISBN:
0872243141
PLI Item #:
217458
CHB Spine #:
B981
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Front Matter
Table of Contents
Chapter 1. SURVEY OF RECENT SEC ENFORCEMENT, CRIMINAL AND OTHER REGULATORY ACTION REGARDING MUNICIPAL SECURITIES
Chapter 2. THE IMPACT OF JOHNSON V. S.E.C.: THE SEC GRAPPLES WITH THE PUNITIVE EFFECT OF A SUSPENSION
Chapter 3. THE MISAPPROPRIATION THEORY OF INSIDER TRADING LIABILITY: THE SUPREME COURT GRANTS THE GOVERNMENT'S PETITION FOR CERTIORARI IN U.S. V. O'HAGAN
Chapter 4. RECENT NOTEWORTHY SELF-REGULATORY CASES
Chapter 5. RECENT STATE ENFORCEMENT INITIATIVES
Chapter 6. STATE REGULATION
Chapter 7. SEC RELEASE NO. 34-37850: BOOKS AND RECORDS REQUIREMENTS FOR BROKERS AND DEALERS UNDER THE SECURITIES EXCHANGE ACT OF 1934
Chapter 8. SEC RELEASE NO. IA-1601: RULES IMPLEMENTING AMENDMENTS TO THE INVESTMENT ADVISERS ACT OF 1940
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