Skip to main content
Create Account
About PLI PLUS
Help
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- Treatises
Forms
Transcripts
My Bookshelf
My History
< Back To Results
1 in 10658 results
Previous Result
Next Result
Broker/Dealer Regulation and Enforcement 2016
Chair(s):
Neal E. Sullivan, Carmen J. Lawrence
Practice Area:
Corporate & Securities
Published:
Oct 2016
ISBN:
9781402427701
PLI Item #:
150155
CHB Spine #:
B2279
This version is not current.
Click here for the most recent version.
Terms & Connectors
Natural Language
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents
Chapter 1. The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 1, 2016)
Chapter 2. Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
Chapter 3. SEC Proposes Rules to Enhance Order Handling Information Available to Investors (August 8, 2016)
Chapter 4. SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers (May 16, 2016)
Chapter 5. FINRA Expands Focus on Algorithmic Trading With New Registration Requirements (April 25, 2016)
Chapter 6. FINRA Targeted Examination of Cultural Values in Guiding Business Conduct (February 25, 2016)
Chapter 7. Financial Industry Regulatory Authority 2016 Exam Priorities (January 12, 2016)
Chapter 8. FINRA and MSRB Issue Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets (December 9, 2015)
Chapter 9. SEC Proposes New Rules to Increase the Transparency and Oversight of Alternative Trading Systems that Transact in NMS Stock (November 30, 2015)
Chapter 10. FINRA’s New Debt and Equity Research Rules Herald Wide-Ranging Changes for Firms (October 30, 2015)
Chapter 11. Analyzing Early Returns on the Yates Memo (March 3, 2016)
Chapter 12. Trends in SEC Enforcement & Internal Investigations (December 9, 2015)
Chapter 13. Defending Broker Dealers in Regulatory Investigations (September 2016)
Index
About Us
