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Complete Issue (September 8, 2021)  Volume 54, Number 15


Author:  Sergio Alvarez-Mena et al..; Robert L. Hickok et al..


Source: Volume 54, Number 15, September 1 2021 , pp.177-188(12)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue contains both of the articles listed in the table of contents above (“AMLA for Broker-Dealers: A New Paradigm” (Alvarez-Mena et al) and “The SEC’s Whistleblower Program—The Amended Rules and Post-Amendment Developments” (Hickock et al.))

Keywords: Anti-Money Laundering Act of 2020 (“AMLA”); Section 21F of the Securities Exchange Act of 1934; Award Criteria; Whistleblower Eligibility

Affiliations:  1: Jones Day; 2: Troutman Pepper Hamilton Sanders.

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