| Broker/Dealer Regulation and Enforcement 2012 TOC |
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| Chapter 1: Recent SEC Cases Against Regulated Entities & Individuals |
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
Erich T. Schwartz ~ Skadden, Arps, Slate, Meagher & Flom LLP
Louis D Greenstein ~ Skadden Arps Slate Meagher & Flom LLP
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| Chapter 2: SEC, CFTC, DOJ and SRO Enforcement Outline |
Susan L. Merrill ~ Sidley Austin LLP
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| Chapter 3: State Regulatory and Enforcement Panel |
Joseph P. Borg ~ Director, Alabama Securities Commission
Neal E. Sullivan ~ Sidley Austin LLP
Marc B. Minor ~ Bureau Chief, Investor Protection Bureau, New York State Office of the Attorney General
Abbe R. Tiger ~ Chief - Bureau of Securities, Division of Consumer Affairs, State of New Jersey, Office of the Attorney General
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| Chapter 4: Market Structure Issues in the U.S. Equity and Options Markets |
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Gerard S. Citera ~ Davis Polk & Wardwell LLP
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| Chapter 5: Changing Role of In-House Counsel |
Carmen J. Lawrence ~ Fried, Frank, Harris, Shriver & Jacobson LLP
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| Chapter 6: Defending a Broker Dealer in SEC Investigations |
William R. Baker III ~ Latham & Watkins LLP
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| Chapter 7: Index to Broker/Dealer Regulation and Enforcement 2012 |
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