New feature: Customize your PLUS research experience with
My Preferences
.
Learn more
.
Skip to main content
Create Account
Training Center
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
- Insights
- Treatises
Forms & Checklists
Transcripts
My Bookshelf
My History
< Back To Results
1 in 11672 results
Previous Result
Next Result
Broker/Dealer Regulation and Enforcement 2012
Chair(s):
Carmen J. Lawrence, Neal E. Sullivan
Practice Area:
Broker-dealers,
Enforcement (Securities and other financial products),
Securities and other financial products
Published:
Oct 2012
i
Other versions can be found in the
Related Items
tab.
ISBN:
9781402418785
PLI Item #:
34736
CHB Spine #:
B1982
This version is not current.
Click here for the most recent version.
Search
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents
Chapter 1. Recent SEC Cases Against Regulated Entities & Individuals
Chapter 2. SEC, CFTC, DOJ and SRO Enforcement Outline
Chapter 3. State Regulatory and Enforcement Panel
Chapter 4. Market Structure Issues in the U.S. Equity and Options Markets
Chapter 5. Changing Role of In-House Counsel
Chapter 6. Defending a Broker Dealer in SEC Investigations
Index
About Us