Online CLE | CLE Credits Online | Online CLE Courses | ALI-CLE.org
Online Library

Back to Results Back to Results


Broker-Dealer Regulation, Compliance, and Enforcement Briefing

Purchase this digital coursebook for: $125.00 Add to Cart

Coursebook Papers:

Supervision (162 pp) $49.00
By Marc Menchel, Esquire

Preview Document (PDF) Add to Cart


Current SEC and FINRA Rulemaking Initiatives (20 pp) $29.00
By Jerome J. Roche, Esquire

Preview Document (PDF) Add to Cart


Financial Responsibility and Broker-Dealer Reports (18 pp) $29.00
By Michael R. Weissmann

Preview Document (PDF) Add to Cart


SEC and FINRA Broker-Dealer Exam Priorities (18 pp) $29.00
By K. Susan Grafton, Esquire

Preview Document (PDF) Add to Cart


Current SEC Enforcement Actions and Enforcement Priorities (24 pp) $29.00
By John R. Hewitt, Esquire

Preview Document (PDF) Add to Cart


Examination and Enforcement Developments (20 pp) $29.00
By Brian L. Rubin, Esquire

Preview Document (PDF) Add to Cart