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Broker/Dealer Regulation and Enforcement 2016
Neal E. Sullivan, Carmen J. Lawrence
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 1, 2016)
Chapter 2. Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
Chapter 3. SEC Proposes Rules to Enhance Order Handling Information Available to Investors (August 8, 2016)
Chapter 4. SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers (May 16, 2016)
Chapter 5. FINRA Expands Focus on Algorithmic Trading With New Registration Requirements (April 25, 2016)
Chapter 6. FINRA Targeted Examination of Cultural Values in Guiding Business Conduct (February 25, 2016)
Chapter 7. Financial Industry Regulatory Authority 2016 Exam Priorities (January 12, 2016)
Chapter 8. FINRA and MSRB Issue Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets (December 9, 2015)
Chapter 9. SEC Proposes New Rules to Increase the Transparency and Oversight of Alternative Trading Systems that Transact in NMS Stock (November 30, 2015)
Chapter 10. FINRA’s New Debt and Equity Research Rules Herald Wide-Ranging Changes for Firms (October 30, 2015)
Chapter 11. Analyzing Early Returns on the Yates Memo (March 3, 2016)
Chapter 12. Trends in SEC Enforcement & Internal Investigations (December 9, 2015)
Chapter 13. Defending Broker Dealers in Regulatory Investigations (September 2016)
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