Broker/dealer regulation and enforcement 2023 / James A. Brigagliano, Carmen J. Lawrence.

Author
Brigagliano, James A. [Browse]
Format
Book
Language
English
Published/​Created
New York, New York : Practising Law Institute, 2023.
Description
1 online resource (472 pages) : illustrations.

Details

Subject(s)
Contributor
Series
Corporate law and practice course handbook series ; Number B-2838
Source of description
Description based on publisher supplied metadata and other sources.
Contents
  • Front Matter
  • Program Schedule
  • Faculty Bios
  • Table of Contents
  • Chapter 1.
  • Wilmer Hale, Broker-Dealers and Advisers Beware: The SEC's "PDA" Proposal Could Upend Firms' Interactions with Customers, Clients and Investors (August 17, 2023)
  • Chapter 2.
  • Wilmer Hale, SEC Proposes to Expand Reg SCI (May 8, 2023)
  • Chapter 3.
  • Wilmer Hale, The SEC Proposes Regulation Best Execution (February 22, 2023)
  • Chapter 4.
  • Wilmer Hale, SEC Adopts Rules Shortening the Standard Settlement Cycle to T+1
  • Chapter 5.
  • Wilmer Hale, SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed (December 16, 2022)
  • Chapter 6.
  • King & Spalding, Client Alert, Bye-Bye Big Boys? The SEC Turns Its Enforcement Focus to Private Deals (May 30, 2023)
  • Chapter 7.
  • King & Spalding, Client Alert, DOJ Corporate Enforcement Policy Revisions Target Executive Compensation, Following Multi-Agency Trend (March 13, 2023)
  • Chapter 8.
  • King & Spalding, Client Alert, Working from Home? Stay Alert to Avoid Insider Trading or Tipping Liability! (January 25, 2023)
  • Chapter 9.
  • Examinations & Rulemaking Developments: Broker/Dealer Regulatory Update
  • Chapter 10.
  • William Francis Galvin, Secretary of the Commonwealth of Massachusetts, Press Release, Galvin Opens Inquiry into Use of Artificial Intelligence in Securities Industry (August 3, 2023)
  • Chapter 11.
  • NASAA, Press Release, NASAA Celebrates the Five-Year Anniversary of the Senior Safe Act (May 24, 2023)
  • Chapter 12.
  • NASAA, Press Release, NASAA Highlights Top Investor Threats for 2023 (April 20, 2023)
  • Chapter 13.
  • NASAA, Press Release, NASAA Urges Congress to Prioritize Capital Formation Policies That Protect Investors and Preserve State Authority (April 19, 2023)
  • Chapter 14.
  • NASAA, Press Release, State Securities Regulators Announce 10 Million Settlement with Robinhood for Failing Investors (April 6, 2023)
  • Chapter 15.
  • NASAA, Press Release, NASAA Releases Annual Enforcement Report (September 20, 2022)
  • Chapter 16.
  • Ethical Issues Facing Lawyers in the Financial Industry
  • Chapter 17.
  • Defending Broker Dealers in Regulatory Investigations
  • Chapter 18.
  • FINRA, 2023 Report on FINRA's Examination and Risk Monitoring Program (January 2023)
  • Chapter 19.
  • 2023 Examination Priorities, Division of Examinations, U.S. Securities and Exchange Commission
  • Chapter 20.
  • Lisa O. Monaco, Deputy Attorney General of the U.S. Department of Justice, Memorandum: Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group (September 15, 2022), available at: https://www.justice.gov/opa/speech/file/1535301/download
  • Chapter 21.
  • Effective Compliance Framework
  • Index.
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