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Coping with Broker/Dealer Regulation & Enforcement 1999
Chair(s):
Robert M. Romano
Practice Area:
Corporate law,
Securities and other financial products
Published:
Mar 1999
i
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ISBN:
N/A
PLI Item #:
191149
CHB Spine #:
B1108
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Front Matter
Table of Contents
Chapter 1. COLD CALLING/COMMUNICATION WITH THE PUBLIC COMPENDIUM OF THE REGULATORY LANDSCAPE
Chapter 2. SECURITIES LAW DEVELOPMENTS: ENFORCEMENT DEVELOPMENTS RECENT FAILURE TO SUPERVISE CASES
Chapter 3. INSIDER TRADING DEVELOPMENTS: DO THE ADLER AND SMITH CASES PORTEND TOUGHER TIMES FOR SEC ENFORCEMENT?
Chapter 4. SELECTIVE DISCLOSURE AND ANALYSTS: A PROBLEM BETTER SOLVED BY ISSUERS THAN LAW ENFORCEMENT
Chapter 5. SELECT CONTESTED SEC CASES IN 1998
Chapter 6. NASD REGULATION, INC. MATERIALS
Chapter 7. STATE BROKER-DEALER ENFORCEMENT
Chapter 8. COMMENT LETTERS REGARDING BROKER-DEALER BOOKS AND RECORDS
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