Publications

Corporate & Securities

Enforcement

Course Handbook from the program Advanced Swaps & Other Derivatives 2012, held October 2012.

Course Handbook from the program Advanced Swaps & Other Derivatives 2014, held October, 2014.

Course Handbook from the program Asset Based Financing Strategies 2013, held March, 2013.

Course Handbook from the program Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know, held May, 2013.

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2013, held April, 2013.

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2013, held February, 2013.

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2014, held February, 2014.

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2012, held October, 2012.

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2013, held October, 2013.

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2014, held October, 2014.

Course Handbook from the program Corporate Governance - A Master Class 2013, held February, 2013.

Course Handbook from the program Corporate Governance - A Master Class 2014, held February, 2014.

Course Handbook from the program Corporate Political Activities 2013, held September, 2013.

Course Handbook from the program Corporate Political Activities 2014, held September, 2014.

Course Handbook from the program Enforcement 2012: Multi-Agency Enforcement Efforts, held April, 2012.

Course Handbook from the program Enforcement 2013: Perspectives from Government Agencies, held April, 2013.

Course Handbook from the program Enforcement 2014: Perspectives from Government Agencies, held April, 2014.

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2012, held October, 2012.

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2013, held October, 2013.

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2014, held October, 2014.

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2012, held June, 2012.

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

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2014, held June, 2014.

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2012, held July, 2012.

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