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Broker/Dealer Regulation and Enforcement 2010

Chair(s): Neal E. Sullivan, Carmen J. Lawrence
Practice Area: Corporate & Securities, Litigation
Published: Oct 2010
ISBN: 9781402414787
PLI Item #: 22715
CHB Spine #: B1845

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent SEC Cases Against Regulated Entities and Individuals
Chapter 2. PLI Coping with Broker/Dealer Regulation and Enforcement State Regulatory and Enforcement Panel
Chapter 3. Current Issues in the U.S. Equity and Options Markets
Chapter 4. Current Issues Under the Dodd-Frank Act in Broker-Dealer Regulation
Chapter 5. Changing Role of In-House Counsel Coping with Broker-Dealer Regulation and Enforcement
Chapter 6. Compliance Officer Materials
Index