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Complete Issue (May 8, 2019)  Volume 52, Number 9


Author:  Corin R. Swift (et al.).; William D. Semins (et al.).


Source: Volume 52, Number 09, May 1 2019 , pp.97-111(15)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes both of the articles listed in the table of contents above (Regulatory Focus on “High-Risk” Registered Representatives and Recidivism (Swift et al.) and The Growing Importance of Fully Integrated Compliance Programs (Semins)).

Keywords: FINRA Regulatory and Examination Priorities; NASAA Enforcement; Foreign Corrupt Practices Act (“FCPA”); DOJ Criminal Fraud Section

Affiliations:  1: Sidley Austin LLP; 2: K&L Gates LLP.

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