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Coping with broker/dealer regulation & enforcement, 2007

Author: Carmen J Lawrence; Neal Sullivan; Practising Law Institute.
Publisher: New York, N.Y. : Practising Law Institute, ©2007.
Series: Corporate law and practice course handbook series, no. B-1628.
Edition/Format:   Print book : English
Database:WorldCat
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Document Type: Book
All Authors / Contributors: Carmen J Lawrence; Neal Sullivan; Practising Law Institute.
ISBN: 9781402409578 1402409575
OCLC Number: 180192227
Notes: "Ord #11344"--Spine.
Prepared for distribution at the program of the same name held October 24, 2007.
Description: 553 pages : illustrations, portraits ; 23 cm.
Contents: Recent disciplinary proceedings / Susan L. Merrill --
Sec and SRO enforcement developments / Samples of recent state regulatory actions / Christine Bruenn --
Outline of recent sec enforcement actions involving broker-dealers and hedge funds / John Polise --
Changing role of in-house counsel, outline and selected cases / Harry Weiss --
Conflicts of interest, sales practices and trading: recent sec cases against regulated entities / Colleen P. Mahoney, Charles F. Walker, Louis D. Greenstein, Andrew M. Lawrence.
Series Title: Corporate law and practice course handbook series, no. B-1628.
Other Titles: Coping with broker dealer regulation and enforcement, 2007
Responsibility: co-chairs, Carmen Lawrence, Neal Sullivan.

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