Course Handbook  Course Handbook

Broker/Dealer Regulation and Enforcement 2017

Publication Date: October 2017 Number of Volumes: 1
ISBN Number: 9781402430039 Page Count: 356 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: King & Spalding, Reflections on Kokesh v. SEC: Potential Ramifications of SEC Disgorgement Being a Penalty (June 14, 2017) Carmen J. Lawrence ~ King & Spalding
Chapter 2: The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 7, 2017) 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
Collen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Joshua A. Ellis ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 3: Outline: State BD Regulation & Enforcement Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ronak V. Patel ~ Kelly Hart
Neal E. Sullivan ~ Sidley Austin LLP
Tanya Solov ~ Director, Illinois Securities Department
Chapter 4: Memorandum of Understanding Regarding the Treatment of Non-Public Information Shared Between the North American Securities Administrators Association and the Securities and Exchange Commission (February 17, 2017) Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ronak V. Patel ~ Kelly Hart
Neal E. Sullivan ~ Sidley Austin LLP
Tanya Solov ~ Director, Illinois Securities Department
Chapter 5: NASAA Broker-Dealer Section Study of Senior Practices and Procedures, 2016–2017 Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ronak V. Patel ~ Kelly Hart
Neal E. Sullivan ~ Sidley Austin LLP
Tanya Solov ~ Director, Illinois Securities Department
Chapter 6: State Regulatory Requests: Using a Measured Approach to Manage a Broker-Dealer’s Objections (August 2017) Ronak V. Patel ~ Kelly Hart
Chapter 7: 2017 Regulatory Update James A. Brigagliano ~ Sidley Austin LLP
Chapter 8: Trends in SEC Enforcement & Internal Investigations (August 17, 2017) 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
Collen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Joshua A. Ellis ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 9: Defending Broker Dealers in Regulatory Investigations (August 2017) William R. Baker ~ Latham & Watkins LLP
Chapter 10: King & Spalding, 2017 Financial Industry Regulatory Priorities, OCIE and FINRA Announce Examination Areas of Focus (January 17, 2017) Carmen J. Lawrence ~ King & Spalding
Chapter 11: Compliance Officer Liability (June 1, 2017) (PowerPoint slides) Ghillaine A. Reid ~ McGuireWoods LLP
Index

This Course Handbook was compiled for the program, BrokerDealer Regulation and Enforcement 2017.

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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Handbook  Course Handbook Archive

Broker/Dealer Regulation and Enforcement 2018 Colleen P. Mahoney, Skadden, Arps, Slate, Meagher & Flom LLP
Carmen J. Lawrence, King & Spalding
 
Broker/Dealer Regulation and Enforcement 2017 Carmen J. Lawrence, King & Spalding
Neal E. Sullivan, Sidley Austin LLP
 
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