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Broker/Dealer Regulation and Enforcement 2013
Chair(s):
Carmen J. Lawrence, Neal E. Sullivan
Practice Area:
Corporate & Securities
Published:
Oct 2013
i
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ISBN:
9781402420993
PLI Item #:
42345
CHB Spine #:
B2057, B2058
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Table of Contents
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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
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