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Broker/Dealer Regulation and Enforcement 2011
Chair(s):
Neal E. Sullivan, Carmen J. Lawrence
Practice Area:
Corporate & Securities
Published:
Oct 2011
ISBN:
9781402416712
PLI Item #:
29581
CHB Spine #:
B1914
This version is not current.
Click here for the most recent version.
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent SEC Cases Against Regulated Entities & Individuals
Chapter 2. Corporate Bribery Under the FCPA: Why Are Individuals That Engage in Bribery Seldom Held Accountable?
Chapter 3. State Regulatory and Enforcement Panel
Chapter 4. Market Structure Issues in the U.S. Equity and Options Markets 2011
Chapter 5. The Derivatives Legislation: Is the World Now Safer?
Chapter 6. Changing Role of In-House Counsel: Regulators' Increased Focus on Attorneys
Chapter 7. Defending a Broker Dealer in SEC Investigations After Dodd-Frank
Index
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