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Coping with Broker/Dealer Regulation and Enforcement 2009
Chair(s):
Carmen J. Lawrence, Neal E. Sullivan
Practice Area:
Broker-dealers,
Enforcement (Securities and other financial products),
Securities and other financial products
Published:
Oct 2009
i
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ISBN:
9781402412936
PLI Item #:
18602
CHB Spine #:
B1771
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. FINRA Disciplinary Actions
Chapter 2. Outline for Enforcement Session: SEC and SRO Enforcement Developments
Chapter 3. Materials for State Regulatory and Enforcement Panel
Chapter 4. Chairman Schapiro’s Open Letter to Broker-Dealer CEO’s, August 31, 2009
Chapter 5. U.S. Securities and Exchange Commission Regulation of Short Selling
Chapter 6. Current Market Structure Issues in the U.S. Equity Markets
Chapter 7. Changing Role of In-House Counsel Coping with Broker-Dealer Regulation and Enforcement
Chapter 8. Recent SEC Cases Against Regulated Entities and Individuals
Chapter 9. Balanced Approach for Parallel Proceedings Discovery: Government Requests for Broad Civil Action Stays Are Being Rejected
Index
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