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Coping with Broker/Dealer Regulation & Enforcement 2006
Author(s):
Harry J. Weiss
Practice Area:
Corporate & Securities, Litigation
Published:
Sep 2006
ISBN:
1402407912
PLI Item #:
8459
CHB Spine #:
B1560
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Front Matter
Table of Contents
Chapter 1. Continuing Evolution of the New Enforcement Environment
Chapter 2. Recent SEC Enforcement Cases
Chapter 3. How to Determine Appropriate Monetary Penalties in Sec Enforcement Settlements Involving Financial Institutions
Chapter 4. State Enforcement Outline
Chapter 5. Selected Topics for Regulatory Update Panel Discussion, Outline
Chapter 6. Changing Role of In-House Counsel, Outline and Selected Cases
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