Details

Subject(s)

• Securities—United States [Browse]

Contributor

Lawrence, Carmen J. [Browse]

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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