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Hedge Fund and Private Equity Enforcement & Regulatory Developments 2019
Barry R. Goldsmith
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Gibson Dunn, 2019 Mid-Year Securities Enforcement Update (July 18, 2019)
Chapter 2. Recent Developments in Cybersecurity Examinations of Private Fund Managers
Chapter 3. The Law Library of Congress, Global Legal Research Center, Regulation of Cryptocurrency Around the World (June 2018)
Chapter 4. Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to List and Trade Shares of the United States Bitcoin and Treasury Investment Trust under NYSE Arca Rule 8.201-E, U.S. Securities and Exchange Commission, Release No. 34-86195, Admin. Proc. File No. SR-NYSEArca-2019-39 (June 25, 2019)
Chapter 5. U.S. Securities and Exchange Commission, Press Release, SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant (June 5, 2019)
Chapter 6. Opinion and Order, SEC v. Longfin Corp., File No. 18cv2977 (S.D.N.Y. 2018)
Chapter 7. Model Errors: Newly Re-Discovered by Regulators and the Plaintiffs’ Bar as the “Achilles Heel” of ERM programs
Chapter 8. Charles D. Riely and Danielle Muniz, What Securities Pros Need to Know About SEC Data Analytics, Law360 (June 7, 2019)
Chapter 9. FINRA, Regulatory Notice 15-09: Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies (March 2015), https://www.finra.org/sites/default/files/notice_doc_file_ref/Notice_Regulatory_15-09.pdf
Chapter 10. Complaint, SEC v. Conn’s, Inc. and Michael J. Poppe, Civil Action No. 4:19-cv-2534 (S.D. Tex. 2019)
Chapter 11. U.S. Securities and Exchange Commission, In the Matter of Moody’s Investors Service, Inc., Admin. Proc. File No. 3-18688 (August 28, 2018)
Chapter 12. U.S. Securities and Exchange Commission, In the Matter of Aegon US Investment Management, LLC, et al., Admin. Proc. File No. 3-18681 (August 27, 2018)
Chapter 13. U.S. Securities and Exchange Commission, In the Matter of F-Squared Investments, Inc., Admin. Proc. File No. 3-16325 (December 22, 2014)
Chapter 14. U.S. Securities and Exchange Commission, In the Matter of Axa Rosenberg Group LLC, et al., Admin. Proc. File No. 3-14224 (February 3, 2011)
Chapter 15. Insider Trading: Where Is the Line?, Columbia Business Law Review, Vol. 2013, No. 2
Chapter 16. Jones Day, Client Alert, Raising the Bar on “Willful” Securities Law Violations (May 2019)
All Contents Copyright © 1996-2020 Practising Law Institute.
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