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Broker-Dealer Regulation

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Table of Contents

Material on Broker-Dealer Self-Regulation (16 pp) $29.00

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Material on '40 Act Product Distribution (18 pp) $29.00

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Outline of Issues for Fixed Income Panel (6 pp) $29.00
By Robert C. Mendelson, Esquire

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Outline of Recent SEC Enforcement Actions (82 pp) $39.00

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Recent Disciplinary Proceedings (38 pp) $29.00
By Susan L. Merrill, Esquire

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Material on Broker-Dealer Trading Practices (76 pp) $39.00

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SEC's Proposed Amendments to Financial Responsibility Rules for Broker-Dealers (24 pp) $29.00

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Corporate Criminal Liability Run Amok (12 pp) $29.00
By C. Evan Stewart, Esquire

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Defeat Is an Orphan: When the SEC Is Forced to Litigate (10 pp) $29.00
By C. Evan Stewart, Esquire

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Carnacking the Future (4 pp) $29.00
By C. Evan Stewart, Esquire

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Can the U.S. Capital Markets Be Saved By Tinkering With The Legal Profession? (10 pp) $29.00
By C. Evan Stewart, Esquire

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The Wrong Track To Reforming Corporate Governance (4 pp) $29.00
By C. Evan Stewart, Esquire

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This Is a Fine Mess You've Gotten Me Into: The Revolution in the Legal Profession (6 pp) $29.00
By C. Evan Stewart, Esquire

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Rand Report Excerpts (18 pp) $29.00

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Electronically Traded Funds (8 pp) $29.00
By Stacy L. Fuller

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Recent Developments in Broker Dealer Regulation (22 pp) $29.00
By Kevin J. Campion, Esquire

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Private Placement Issues (16 pp) $29.00
By Barbara A. Stettner, Esquire

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Revised Reg D (33 pp) $29.00
By Barbara A. Stettner, Esquire

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Course Materials Subscription

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Coursebook Subscription - Securities
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