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Broker/Dealer Regulation and Enforcement 2014

Chair(s): Carmen J. Lawrence, Neal E. Sullivan

Practice Area: Broker-dealers, Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Oct 2014 i Other versions can be found in the Related Items tab.
ISBN: 9781402423215
PLI Item #: 48131
CHB Spine #: B2131

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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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