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Coping with Broker/Dealer Regulation and Enforcement 2005

Chair(s): Harry J. Weiss
Practice Area: Corporate & Securities, Litigation
Published: Sep 2005 i Other versions can be found in the Related Items tab.
ISBN: 1402406460
PLI Item #: 6373
CHB Spine #: B1507

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Front Matter
Table of Contents
Chapter 1. Recent SEC Enforcement Cases, March 16, 2005
Chapter 2. Attorney General of the State of New York Bureau of Investment Protection: RE: Columbia Management Advisors, Inc., and Columbia Funds Distributor, Inc., February 9, 2005
Chapter 3. Press Release, Office of New York State Attorney General Eliot Spitzer: Spitzer, Merrill Lynch Reach Unprecedented Agreement to Reform Investment Practices, May 21, 2002
Chapter 4. SEC Enforcement Against Attorneys after Sarbanes Oxley
Chapter 5. Effective Strategies for Defending Investigations, September 14, 2005
Chapter 6. Recent SEC Conflicts of Interest Cases, July 1, 2005