Course Handbook  Course Handbook

Broker/Dealer Regulation and Enforcement 2018

Publication Date: October 2018 Number of Volumes: 1
ISBN Number: 9781402432460 Page Count: 222 pages

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Table of Contents
Chapter 1: SEC, CFTC, DOJ and SRO Enforcement of Broker/Dealers: Recent Developments Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Carol Miller ~ Wachtell Lipton Rosen & Katz
Chapter 2: Cui Bono? The (Latest) Personal Benefit Test in Insider Trading Cases (July 31, 2018) Carmen J. Lawrence ~ King & Spalding
Joseph L. Zales ~ King & Spalding
Chapter 3: The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 24, 2018) Charles F. Walker ~ 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 4: NASAA 2017 Enforcement Report A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Chapter 5: Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update Stephanie M. Dumont ~ Senior Vice President and Director of Capital Markets Policy; Office of General Counsel - Regulatory, FINRA
Stephen Luparello ~ General Counsel, Citadel Securities
Susan F. Axelrod ~ Chief Supervisory Officer, Bank of America Merrill Lynch
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Chapter 6: Defending Broker Dealers in Regulatory Investigations (August 2018) William R. Baker ~ Latham & Watkins LLP
Index

This Course Handbook was compiled for the program, BrokerDealer Regulation and Enforcement 2018.

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