Skip to main content
Create Account
About PLI PLUS
Help
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- Treatises
Forms
Transcripts
My Bookshelf
My History
< Back To Results
1 in 1 results
Previous Result
Next Result
Broker/Dealer Regulation and Enforcement 2013
Author(s):
Neal E. Sullivan, Carmen J. Lawrence
Practice Area:
Corporate & Securities
Published:
Oct 2013
ISBN:
9781402420993
PLI Item #:
42345
CHB Spine #:
B2057, B2058
Terms & Connectors
Natural Language
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1. FINRA Department of Enforcement, Enforcement Priorities 2013
Chapter 2. Recent SEC Cases Against Regulated Entities & Individuals (August 29th, 2013)
Chapter 3. NASAA Broker-Dealer Section Report on Principal Considerations for Regulatory Actions
Chapter 4. NASAA 2012 Broker-Dealer Coordinated Examinations Project
Chapter 5. Broker-Dealer Supervision: Evolving Business Practices and Regulatory Enforcement (Summer 2012)
Chapter 6. Current Market Structure Issues in the U.S. Equity and Options Markets (August 2013)
Chapter 7, Vol. 1. Changing Role of In-House Counsel—Coping with Broker-Dealer Regulation and Enforcement
Chapter 7, Vol. 2. Changing Role of In-House Counsel—Coping with Broker-Dealer Regulation and Enforcement (Exhibits Continued)
Chapter 8. Defending a Broker Dealer in SEC Investigations After Dodd-Frank
Chapter 9. Recent Developments in Broker Dealer Compliance
Index
About Us