Course Handbook  Course Handbook

Broker/Dealer Regulation and Enforcement 2016

Publication Date: October 2016 Number of Volumes: 1
ISBN Number: 9781402427701 Page Count: 360 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 1, 2016) 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
Andrew M Lawrence ~ Skadden, Arps, Slate, Meagher & Flom LLP
Joshua A Ellis ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 2: Broker/Dealer: State Enforcement Initiatives, Developments and Priorities Joseph P Borg ~ Director, Alabama Securities Commission, Alabama Securities Commission
Chapter 3: SEC Proposes Rules to Enhance Order Handling Information Available to Investors (August 8, 2016) James A Brigagliano ~ Sidley Austin LLP
Chapter 4: SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers (May 16, 2016) James A Brigagliano ~ Sidley Austin LLP
Chapter 5: FINRA Expands Focus on Algorithmic Trading With New Registration Requirements (April 25, 2016) James A Brigagliano ~ Sidley Austin LLP
Chapter 6: FINRA Targeted Examination of Cultural Values in Guiding Business Conduct (February 25, 2016) James A Brigagliano ~ Sidley Austin LLP
Chapter 7: Financial Industry Regulatory Authority 2016 Exam Priorities (January 12, 2016) James A Brigagliano ~ Sidley Austin LLP
Chapter 8: FINRA and MSRB Issue Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets (December 9, 2015) James A Brigagliano ~ Sidley Austin LLP
Chapter 9: SEC Proposes New Rules to Increase the Transparency and Oversight of Alternative Trading Systems that Transact in NMS Stock (November 30, 2015) James A Brigagliano ~ Sidley Austin LLP
Chapter 10: FINRA’s New Debt and Equity Research Rules Herald Wide-Ranging Changes for Firms (October 30, 2015) James A Brigagliano ~ Sidley Austin LLP
Chapter 11: Analyzing Early Returns on the Yates Memo (March 3, 2016) William F Johnson ~ Fried, Frank, Harris, Shriver & Jacobson LLP
William R Baker ~ Latham & Watkins LLP
Chapter 12: Trends in SEC Enforcement & Internal Investigations (December 9, 2015) 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
Andrew M Lawrence ~ Skadden, Arps, Slate, Meagher & Flom LLP
Joshua A Ellis ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 13: Defending Broker Dealers in Regulatory Investigations (September 2016) William R Baker ~ Latham & Watkins LLP
Index

This Course Handbook was compiled for the program, BrokerDealer Regulation and Enforcement 2016.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Carmen J Lawrence, King & Spalding
Neal E Sullivan, Sidley Austin LLP
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