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Broker-Dealer Regulation--2006

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. CL047

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Coursebook Papers:

Compliance by Non-U.S. Broker-Dealers with SEC Rules 15a-6 (11 pp) $29.00

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The Broker/Finder Distinction (24 pp) $29.00

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The Distribution of Private Fund Securities: Regulatory Considerations and Potential Liabilities When Using Unlicensed Finders (14 pp) $29.00

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Regulation B: SEC Rules Governing Certain Bank Securities Broker Activities (51 pp) $39.00

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The Examination Process (17 pp) $29.00

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Restrictions and Obligations of Broker-Dealers Engaged in Proprietary Trading (44 pp) $29.00

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Risk Management (17 pp) $29.00

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Counterparty Risk Management Policy Group II: OTC Documentation Practices in a Changing Risk Environment (16 pp) $29.00

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Global Documentation Steering Committee (“GDSC”) (4 pp)

Recent SEC Enforcement Cases (107 pp) $49.00

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The SEC and the Lawyer-Client Relationship: A Revolution in the Making (9 pp) $29.00

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A Walk on the Wild Side: Law Enforcement and Law Practice in the Post-Enron Era (10 pp) $29.00

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Corporate Lawyers as Crisis Managers: Too Much of a “Good” Thing? (10 pp) $29.00

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The Post-Enron Pendulum: Is It Swinging Back (and in What Direction)? (9 pp) $29.00

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The Yin and Yang of Corporate Governance in the Post-Enron Era (11 pp) $29.00

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Coursebook Subscription - Securities
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