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Broker/Dealer Regulation and Enforcement 2018

Author(s): Colleen P. Mahoney, Carmen J. Lawrence
Practice Area: Corporate & Securities
Published: Oct 2018
ISBN: 9781402432460
PLI Item #: 221534
CHB Spine #: B2441

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. SEC, CFTC, DOJ and SRO Enforcement of Broker/Dealers: Recent Developments
Chapter 2. Cui Bono? The (Latest) Personal Benefit Test in Insider Trading Cases (July 31, 2018)
Chapter 3. The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 24, 2018)
Chapter 4. NASAA 2017 Enforcement Report
Chapter 5. Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update
Chapter 6. Defending Broker Dealers in Regulatory Investigations (August 2018)
Index