PLI PLUS Title Details

Create Account
About PLI PLUS
Help
Contact Us

Questions? Comments?
Contact us.

Email: PLUS@pli.edu
Phone: 877.900.5291
PLI.edu
SIGN IN

Broker/Dealer Regulation and Enforcement 2010

Author(s): Neal E. Sullivan, Carmen J. Lawrence
Practice Area: Corporate & Securities, Litigation
Published: Oct 2010
ISBN: 9781402414787
PLI Item #: 22715
CHB Spine #: B1845

Email
Print
Add To Bookshelf
Permalink

Table of Contents
Related Items

Select All

Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent SEC Cases Against Regulated Entities and Individuals
Chapter 2. PLI Coping with Broker/Dealer Regulation and Enforcement State Regulatory and Enforcement Panel
Chapter 3. Current Issues in the U.S. Equity and Options Markets
Chapter 4. Current Issues Under the Dodd-Frank Act in Broker-Dealer Regulation
Chapter 5. Changing Role of In-House Counsel Coping with Broker-Dealer Regulation and Enforcement
Chapter 6. Compliance Officer Materials
Index