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Coping with Broker/Dealer Regulation & Enforcement 2003
Chair(s):
Harry J. Weiss
Practice Area:
Corporate & Securities
Published:
Oct 2003
i
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ISBN:
1402403550
PLI Item #:
468
CHB Spine #:
B1389
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Supervision
Chapter 2. SEC Approves NASD Overhaul of Member Public Communications Rules and Clarifies the Status of Instant Messaging, Securities Law Developments Newsletter
Chapter 3. Navigating the Current Enforcement Environment
Chapter 4. Recent SEC Enforcement Cases
Chapter 5. SEC and SRO Enforcement Agenda in the Year Ahead Workbook Materials
Chapter 6. Recent Prosecutions In The Securities Industry
Chapter 7. Mark-Ups
Chapter 8. Overview of Selected Legal snd Regulatory Developments
Chapter 9. NASD Proposes to Require Each CEO and Chief Compliance Officer to Certify Annually to the Adequacy of their Firm's Compliance and Supervisory Systems
Chapter 10. Managing Compliance in a Complex Organization an Occasional Series - Part Four - Who is a Supervisor?
Chapter 11. Notable Broker/Dealer-Related Enforcement Actions and Pronouncements Involving Federal Securities Regulators (2003)
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