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Broker-Dealers 1985: Regulation and Litigation
Practice Area:
Corporate law,
Litigation,
Securities and other financial products
Published:
Jan 1985
i
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ISBN:
N/A
PLI Item #:
235320
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. BROKER-DEALERS REGULATION AND LITIGATION: RECENT DEVELOPMENTS--THE STATUS OF BANK ACTIVITIES
Chapter 2. A DIALOGUE WITH SECURITIES INDUSTRY--SELF-REGULATORS: DISCIPLINARY INVESTIGATIONS AND PROCEEDINGS CONDUCTED BY THE AMERICAN STOCK EXCHANGE, THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, AND THE NEW YORK STOCK EXCHANGE
Chapter 3. FEDERAL RULE 11: NEW SANCTIONS FOR OVERZEALOUS ADVOCACY
Chapter 4. FUNCTIONAL REGULATION
Chapter 5. AN OVERVIEW OF STOCK LOAN/STOCK BORROWING
Chapter 6. RACKETEER INFLUENCED, AND CORRUPT ORGANIZATIONS ACT (RICO)--CIVIL TREBLE DAMAGE CLAIMS
Chapter 7. REGULATION OF TRADING IN GOVERNMENT SECURITIES
Chapter 8. RULE 7(b) OF THE SEC'S RULES RELATING TO INVESTIGATIONS: ATTENDANCE OF TECHNICAL ADVISERS TO ASSIST ATTORNEYS REPRESENTING WITNESSES DURING SEC INVESTIGATIVE TESTIMONY
Chapter 9. THE SECURITIES INVESTOR PROTECTION ACT
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