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Broker-Dealer Regulation

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Coursebook Papers:

Table of Contents

The Intersection of Bank and Brokerage Regulation (10 pp) $29.00
By Soo J. Yim, Esquire

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Regulation R (10 pp) $29.00
By Sarah A. Miller, Esquire

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Regulation R – The “Push Out” Rules Finally Adopted (8 pp) $29.00
By Sarah A. Miller, Esquire

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Letter re: Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls, Regulatory Notice 08-24 (8 pp) $29.00
By Sarah A. Miller, Esquire

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Bank Securities Lending: Regulation R/Bank Dealer Rules(as of June, 2009) (10 pp) $29.00
By Kevin A. Zambrowicz, Esquire

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Analyzing Bank Securities Activities: A Summary of Unlicensed Bank Employee Compensation Issues Under the Gramm-Leach-Bliley Act & Regulation R (22 pp) $29.00
By Kevin A. Zambrowicz, Esquire

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Analyzing Bank Securities Activities: A Summary of the Push-Out Provisions & Regulation R (26 pp) $29.00
By Kevin A. Zambrowicz, Esquire

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Unlicensed Bank Employee Compensation Issues Under the Gramm-Leach-Bliley Act and Regulation R (18 pp) $29.00
By Kevin A. Zambrowicz, Esquire

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Bank Broker-Dealer Activities Under the Gramm-Leach-Bliley Act and Regulation R (30 pp) $29.00
By Kevin A. Zambrowicz, Esquire

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Who is a Broker-Dealer, Who is an Investment Adviser and How is That Likely to Change? (14 pp) $29.00
By W. Hardy Callcott, Esquire

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The Implications of Reform for the SEC and CFTC (8 pp) $29.00
By Geoffrey F. Aronow, Esquire

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Financial Regulatory Restructuring (28 pp) $29.00
By Robert L.D. Colby, Esquire

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Survey of Financial System Regulatory Reform Proposals and Legislation as of May 21, 2009 (44 pp) $29.00
By K. Susan Grafton, Esquire

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Regulation M — Background and Purpose (14 pp) $29.00
By Barbara J. Endres

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Front Running Prohibitions — Background (8 pp) $29.00
By Barbara J. Endres

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New Proposed Short Selling Price Tests (10 pp) $29.00
By Roger D. Blanc, Esquire

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Trading Related Rule Changes (4 pp) $29.00
By Andrew S. Margolin

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Financial Responsibility Developments During 2008 and 2009 (14 pp) $29.00
By Christopher Salter

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FINRA Regulatory Notices (46 pp) $29.00
By Susan L. Merrill, Esquire

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Self-Regulation: Background and Recent Developments (16 pp) $29.00
By Richard G. Wallace

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Ethical Responsibilities of Legal and Compliance Professionals: Recent SEC and FINRA Cases Involving Lawyers and Compliance Professionals (12 pp) $29.00
By Anne C. Flannery, Esquire

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Lawyer Directors: Just a Bad Idea (8 pp) $29.00
By C. Evan Stewart, Esquire

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“With Apologies to the Jackson Five: One Bad Apple Can Spoil the Whole Bunch!” (10 pp) $29.00
By C. Evan Stewart, Esquire

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Documents and Lawyers: Oil and Water? (12 pp) $29.00
By C. Evan Stewart, Esquire

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In-House Counsel as Whistleblower: A Rat With a Remedy? (10 pp) $29.00
By C. Evan Stewart, Esquire

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Regulating the Legal Profession: Sense or Nonsense? (12 pp) $29.00
By C. Evan Stewart, Esquire

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The Pit, the Pendulum, and the Legal Profession:Where Do We Stand After Five Years of Sarbanes-OxleyPublished inBNS Securities Regulation & Law Report on February 18, 2008 (18 pp) $29.00
By C. Evan Stewart, Esquire

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The Legal Profession and Conflicts: Ain’t No Mountain High Enough?Published in New York Business Law Journal (Fall 2007) (16 pp) $29.00
By C. Evan Stewart, Esquire

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The Intersection of Bank and Brokerage Regulation: In-House Perspective-supplemental material (18 pp) $29.00
By Mark Catana, Esquire

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Fixed Income Issues 2009 - Life after Financial Regulatory Reform: A New Foundation-supplemental material (16 pp) $29.00
By Robert C. Mendelson, Esquire

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