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Coping with broker/dealer regulation & enforcement, 2006

Author: Harry J Weiss; Practising Law Institute.
Publisher: New York, N.Y. : Practising Law Institute, ©2006.
Series: Corporate law and practice course handbook series, no. 1560.
Edition/Format:   Print book : English
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Document Type: Book
All Authors / Contributors: Harry J Weiss; Practising Law Institute.
ISBN: 1402407912 9781402407918
OCLC Number: 71355715
Notes: Prepared for distribution at the program of the same name held September 2006.
Description: 322 pages ; 23 cm.
Contents: Continuing Evolution of the New Enforcement Environment / Susan L. Merrill --
Recent SEC Enforcement Cases, Linda Chatman Thomsen --
How to Determine Appropriate Monetary Penalties in SEC Enforcement Settlements involving Financial Institutions / Robert M. Romano --
State Enforcement Outline, Joseph P. Borg, Tanya Solov --
Selected Topics for Regulatory Update Panel Discussion, Outline / Andre E. Owens --
Changing Role of In House Counsel, Outline and Selected Cases / Harry J. Weiss.
Series Title: Corporate law and practice course handbook series, no. 1560.
Other Titles: Coping with broker dealer regulation and enforcement
Responsibility: chair, Harry J. Weiss.

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