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Coping with Broker/Dealer Regulation & Enforcement 2001
Chair(s):
Robert M. Romano
Practice Area:
Corporate law,
Securities and other financial products
Published:
Oct 2001
i
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ISBN:
140240039X
PLI Item #:
217401
CHB Spine #:
B1273
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Front Matter
Table of Contents
Chapter 1. RECENT SEC ENFORCEMENT CASES
Chapter 2. OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS: EXAMINATIONS OF BROKER-DEALERS OFFERING ONLINE TRADING: SUMMARY OF FINDINGS AND RECOMMENDATIONS JANUARY 25, 2001
Chapter 3. SPEECH BY SEC ACTING CHAIRMAN: HOW CAN ANALYSTS MAINTAIN THEIR INDEPENDENCE? REMARKS BY ACTING CHAIRMAN LAURA S. UNGER U.S. SECURITIES & EXCHANGE COMMISSION AT THE RAY GARRETT JR. CORPORATE AND SECURITIES LAW INSTITUTE NORTHWESTERN UNIVERSITY SCHOOL OF LAW EVANSTON, ILLINOIS APRIL 19, 2001
Chapter 4. SPEECH BY SEC STAFF: MONEY LAUNDERING: IT'S ON THE SEC'S RADAR SCREEN REMARKS BY LORI A. RICHARDS DIRECTOR, OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS, U.S. SECURITIES & EXCHANGE COMMISSION CONFERENCE ON ANTI-MONEY LAUNDERING COMPLIANCE FOR BROKER-DEALER SECURITIES INDUSTRY ASSOCIATION MAY 8, 2001
Chapter 5. SPEECH BY SEC STAFF: REMARKS BEFORE THE ROCKY MOUNTAIN SECURITIES CONFERENCE
Chapter 6. IN THE MATTER OF ALL-TECH DIRECT, INC., F/K/A ALL TECH INVESTMENT GROUP, INC., HARRY LEFKOWITZ, MARK SHEFTS, LISA ESPOSITO, RALPH ZULFERINO, DAVID WALDMAN, ADAM LEEDS AND BARRY PARISH ADMINISTRATIVE PROCEEDINGS - FILE NO. 3-10150 SECURITIES EXCHANGE ACT OF 1934 - RELEASE NO. 44415 / JUNE 13, 2001
Chapter 7. TESTIMONY CONCERNING CONFLICTS OF INTEREST FACED BY BROKERAGE FIRMS AND THEIR RESEARCH ANALYSTS
Chapter 8. WRITTEN TESTIMONY CONCERNING CONFLICTS OF INTEREST FACED BY BROKERAGE FIRMS AND THEIR RESEARCH ANALYSTS
Chapter 9. TESTIMONY CONCERNING FUNCTIONAL REGULATION PROVISIONS OF THE GRAMM-LEACH-BLILEY ACT
Chapter 10. SPEECH BY SEC STAFF: ANALYZING ANALYSTS REMARKS BY DAVID M. BECKER, GENERAL COUNSEL U.S. SECURITIES & EXCHANGE COMMISSION REMARKS BEFORE THE COMMITTEE ON FEDERAL REGULATION OF SECURITIES OF THE AMERICAN BAR ASSOCIATION AUGUST 7, 2001
Chapter 11. FINAL RULE: REGISTRATION OF BROKER-DEALERS PURSUANT TO SECTION 15(b)(11) OF THE SECURITIES EXCHANGE ACT OF 1934 SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 240, 248, AND 249 [RELEASE NO. 34-44730; FILE NO. S7-13-01] RIN 3235-AI21
Chapter 12. FINAL RULE: ELECTRONIC SUBMISSION OF SECURITIES TRANSACTION INFORMATION BY EXCHANGE MEMBERS, BROKERS, AND DEALERS SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 200 AND 240 [RELEASE NO. 34-44494; FILE NO. S7-12-00] RIN 3235-AH69
Chapter 13. RECENT DEVELOPMENTS IN SUPERVISION
Chapter 14. COMMODITY FUTURES TRADING COMMISSION
Chapter 15. OVERVIEW OF THE ENFORCEMENT PROCESS
Chapter 16. "CRIMINALIZATION" OF SECURITIES FRAUD ON THE STATE LEVEL: NEW YORK AND BEYOND
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