Complete Issue (May 22, 2019) Volume 52, Number 10
Author: Cheryl L. Haas (et al.).; Sarah F. Warren.
Source: Volume 52, Number 10, May 15 2019 , pp.113-124(12)

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Abstract:
The complete issue includes both of the articles in the table of contents above (Regulatory Developments for Dual Registrants (Haas et al.) and Maintaining Privilege Protection of Internal Investigations (Warren)).Keywords: FINRA Rules 3270 and 3280; Wrap Fee Programs and Reverse Churning; Conflicts of Interest and Best Execution; Share Class Selection; Digital Investment Advice; Upjohn Co. v. United States; Scope of Privilege; United States SEC v. Herrera; In re Kellog
Affiliations:
1: McGuireWoods LLP; 2: Fried Frank.