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Regulation & Compliance

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Regulation & Compliance
Yolanda QuixoteYolanda Quixote

ON DEC. 30, 2006, more than a dozen SEC commissioners and employees received a lengthy email from a woman referring to herself as Miss SEC 2006.

byKristen French
Feb 1, 2007
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1 Min Read
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Regulation & Compliance
Attorneys' FeesAttorneys' Fees
byJohn T. Brooks, Samantha E. Weissbluth
Jan 11, 2007
1 Min Read
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Regulation & Compliance
Skirts Vs. Smith BarneySkirts Vs. Smith Barney
byAngela Covo
Nov 1, 2006
1 Min Read
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Regulation & Compliance
Fighting the U5Fighting the U5
byJacob H. Zamansky
Nov 1, 2006
1 Min Read
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Regulation & Compliance
Blotter 2006-11-01Blotter
byJohn Churchill
Nov 1, 2006
1 Min Read
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Regulation & Compliance
Listen to Your ClientListen to Your Client
byAnn Therese Palmer
Nov 1, 2006
1 Min Read
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Regulation & Compliance
Just in Time for Halloween: A Dumont-like Horror
Just in Time for Halloween: A Dumont-like Horror
Oct 12, 2006
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1 Min Read
byJohn T. Brooks, Partner
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Regulation & Compliance
Creditors Snatch Collection Plate
Creditors Snatch Collection Plate
Oct 1, 2006
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1 Min Read
byJohn Churchill
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Regulation & Compliance
The Long Arm of NASD
The Long Arm of NASD
Oct 1, 2006
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1 Min Read
byBill Singer
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Regulation & Compliance
Agent or Fiduciary?
Agent or Fiduciary?
Oct 1, 2006
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1 Min Read
byAnn Therese Palmer
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Regulation & Compliance
Fight Club
Fight Club
Oct 1, 2006
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1 Min Read
byKevin Burke
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Regulation & Compliance
Dad Wins—No Contest
Dad Wins—No Contest
Sep 13, 2006
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1 Min Read
byJohn T. Brooks, Partner
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Regulation & Compliance
Utah's Naked Short Selling Law on Hold
Utah's Naked Short Selling Law on Hold
Sep 1, 2006
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1 Min Read
byKristen French
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Regulation & Compliance
Cockroaches of the Investment Business
Cockroaches of the Investment Business
Sep 1, 2006
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1 Min Read
byKristen French
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Regulation & Compliance
Blotter 2006-09-01
Blotter
Sep 1, 2006
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1 Min Read
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Regulation & Compliance
Put It in Writing: Investors Want Arbitrators to Explain Their Awards
Put It in Writing: Investors Want Arbitrators to Explain Their Awards
Aug 16, 2006
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1 Min Read
byKaren Donovan
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Regulation & Compliance
Beware the Powers of Attorney
Beware the Powers of Attorney
Aug 16, 2006
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1 Min Read
byJohn T. Brooks, Samantha E. Weissbluth
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Regulation & Compliance
Supremes Rule for Anna Nicole
Supremes Rule for Anna Nicole
May 15, 2006
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1 Min Read
byCarla T. Main
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Regulation & Compliance
Cinderella’s Revenge in Heller and The Timing Stinks in Klehm
Cinderella’s Revenge in Heller and The Timing Stinks in Klehm
Apr 12, 2006
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1 Min Read
byJohn T. Brooks, Partner
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Regulation & Compliance
Recent Decisions: Dumont and Perry
Recent Decisions: Dumont and Perry
Mar 15, 2006
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1 Min Read
byRorie M. Sherman
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Regulation & Compliance
Understanding Anna’s Case
Understanding Anna’s Case
Feb 15, 2006
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1 Min Read
byJohn T. Brooks, Partner
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Regulation & Compliance
Trustees Everywhere Be Afraid
Trustees Everywhere Be Afraid
Apr 1, 2005
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1 Min Read
byIan A. Marsh, Michael Ben-Jacob
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Regulation & Compliance
Raymond James Fights a Lonely Battle with the SEC
Raymond James Fights a Lonely Battle with the SEC
Dec 1, 2004
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1 Min Read
byKaren Donovan
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Regulation & Compliance
Who Regulates the Regulators?
Who Regulates the Regulators?
Jan 1, 2003
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1 Min Read
byBill Singer
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Regulation & Compliance
The Future of the Industry
The Future of the Industry
Jan 1, 2003
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1 Min Read
byDavid A. Gaffen, David Geracioti
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Regulation & Compliance
Training Brokers Not to Flunk Out
Training Brokers Not to Flunk Out
Nov 1, 2002
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1 Min Read
byMichelle Leder
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Regulation & Compliance
Law & Order: Client-Broker Disputes
Law & Order: Client-Broker Disputes
Nov 1, 2002
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1 Min Read
byCarol X. Vinzant
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Regulation & Compliance
Deferred Compensation. Whose Money Is It?
Deferred Compensation. Whose Money Is It?
Oct 1, 2002
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1 Min Read
byWilliam A. Jacobson
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Regulation & Compliance
Cashing Out
Cashing Out
Sep 1, 2002
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1 Min Read
byWilliam A. Jacobson
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Regulation & Compliance
California Securities Arbitrations at a Standstill
California Securities Arbitrations at a Standstill
Sep 1, 2002
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1 Min Read
byAnn Therese Palmer
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Regulation & Compliance
Street Legal: Blame the SEC, Too
Street Legal: Blame the SEC, Too
Aug 1, 2002
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1 Min Read
bySaul S. Cohen
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Regulation & Compliance
No Free Ride
No Free Ride
Jun 1, 2002
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1 Min Read
byBill Singer
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Regulation & Compliance
If You Can't Do The Time
If You Can't Do The Time
May 1, 2002
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1 Min Read
byBill Singer
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Regulation & Compliance
Go to the Head of the Class 2002
Go to the Head of the Class
May 1, 2002
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1 Min Read
byDavid A. Gaffen, Editor in Charge
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Regulation & Compliance
Street Legal: Return Policy
Street Legal: Return Policy
May 1, 2002
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1 Min Read
byWilliam A. Jacobson

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