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K. Susan Grafton
Banking, Intellectual Property, Privacy & Cybersecurity
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Table of Contents
Table of Contents
Chapter 1. SEC Staff Issues Guidance Update and Investor Bulletin on “Robo-Advisors” (March 2017)
Chapter 2. Final Rule: Privacy of Consumer Financial Information (Regulation S-P), 17 C.F.R. 248 (November 2000)
Chapter 3. Guidance Update: Robo-Advisors (February 2017)
Chapter 4. Investor Bulletin: Robo-Advisers (February 23, 2017)
Chapter 5. Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017)
Chapter 6. SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers (February 23, 2017)
Chapter 7. Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201, Rel. No. 34-80099 (February 24, 2017)
Chapter 8. Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Shares Issued by the Winklevoss Bitcoin Trust, Rel. No. 34-80206 (March 10, 2017)
Chapter 9. Distributed Ledger Technology in Payments, Clearing, and Settlement (2016)
Chapter 10. Building on the Blockchain: Nasdaq’s Vision of Innovation
Chapter 11. The Use of Distributed Ledger Technologies in Payment, Clearing, and Settlement (April 14, 2016)
Chapter 12. Distributed Ledger Technology: Implications of Blockchain for the Securities Industry (January 2017)
Chapter 13. US Comptroller of the Currency Will Offer Limited Purpose National Bank Charters to Fintech Companies (December 2016)
Chapter 14. Exploring Special Purpose National Bank Charters for Fintech Companies (December 2016)
Chapter 15. Regulation A+: What Do We Know So Far? (November 2016)
Chapter 16. Regulation Crowdfunding: A Small Entity Compliance Guide for Issuers (May 13, 2016)
Chapter 17. Registration of Funding Portals: A Small Entity Compliance Guide
All Contents Copyright © 1996-2020 Practising Law Institute.
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