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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)




Review of Securities & Commodities Regulation

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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.

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