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    Fundamentals of Broker-Dealer Regulation 2013

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2013, held June, 2013.

    Fundamentals of Investment Adviser Regulation 2013

    Handbook  Course Handbook

    Course Handbook from the program Fundamentals of Investment Adviser Regulation 2013, held July, 2013.

    Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

    Handbook  Course Handbook

    Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment, held June, 2013.

    Internal Investigations 2013

    Handbook  Course Handbook

    Course Handbook from the program Internal Investigations 2013, held June, 2013.

    Understanding the Securities Laws 2013 (Summer)

    Handbook  Course Handbook

    Course Handbook from the program Understanding the Securities Laws 2013 (Summer), held July, 2013.

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    Featured Faculty/Authors
    Lisa J. Sotto

    Lisa J. Sotto ~ Hunton & Williams LLP

    David W. Pollak

    David W. Pollak ~ Morgan, Lewis & Bockius LLP

    Katie M. Lachter

    Katie M. Lachter ~ Hinshaw & Culbertson LLP

     
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