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|All Authors / Contributors:||
Carmen J Lawrence; Neal Sullivan; Practising Law Institute.
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.|
- Stockbrokers -- States.
- National Association of Securities Dealers -- Rules and practice.
- United States. -- Securities and Exchange Commission -- Rules and practice.
- United States. -- Sarbanes-Oxley Act of 2002.
- Insider trading in securities.
- Disclosure of information.
- Securities fraud -- States.