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Broker-Dealer Regulation--2007

These materials provide practical information and useful insights for lawyers grappling with a fast-moving regulatory landscape. They include papers on broker-dealer identification, books and records, supervision, the increasing role of state regulation, research, risk management, and ethical responsibilities of legal and compliance professionals in a changing landscape. CM063

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Table of Contents

Supervision and Compliance Obligations of Broker-Dealers (20 pp) $29.00

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Fee-Based Brokerage and Advisory Accounts (14 pp) $29.00

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SEC Interpretive Advice Concerning Section 28(e) of the Securities Exchange Act of 1934 (10 pp) $29.00

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SEC Recently Proposed Amendments to Short Selling Rules (28 pp) $29.00

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SEC and SRO Enforcement Materials (196 pp) $49.00

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Continuing Evolution of the New Enforcement Environment (36 pp) $29.00

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State Regulation and Enforcement Materials (10 pp) $29.00

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Risk Management (14 pp) $29.00

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Global Documentation Steering Committee Submissions (32 pp) $29.00

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Interim Report of the Committee on Capital Markets Regulation (34 pp) $29.00

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Ethical Responsibilities (30 pp) $29.00

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