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Broker/Dealer Regulation and Enforcement 2014
Chair(s):
Neal E. Sullivan, Carmen J. Lawrence
Practice Area:
Corporate & Securities
Published:
Oct 2014
ISBN:
9781402423215
PLI Item #:
48131
CHB Spine #:
B2131
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (September 3, 2014)
Chapter 2. Regulatory Overview: State Securities Regulators Examinations, Enforcement & Selected Topics
Chapter 3. SIFMA Operations Conference: Implications of Regulatory Implementation
Chapter 4. Cybersecurity Developments: SEC, FINRA, NIST, DOJ/FTC (April 24, 2014)
Chapter 5. Broker-Dealers Need to Respond to Recent Focus on Cybersecurity Threats (February 20, 2014)
Chapter 6. Volcker: The Final Rule (December 20, 2013)
Chapter 7. As Chief Compliance Officer, Could You Be the Target of an Enforcement Action? (May 19, 2014)
Chapter 8. Changing Role of In-House Counsel—Coping with Broker-Dealer Regulation and Enforcement (August 29, 2014)
Chapter 9. Defending Broker Dealers in Regulatory Investigations
Index
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