Home      Login


Complete Issue (Volume 56, Number 15—September 13, 2023))  


Author:  Matthew A. Schwartz & Aaron J. Blake.; Paula D. Shaffner & Brandon M. Riley.


Source: Volume 56, Number 15, September 1 2023 , pp.215-226(12)




Review of Securities & Commodities Regulation

< previous article |return to table of contents

Abstract: 

The complete issue includes both of the articles listed in the table of contents above (“Ethical Issues Arising from Client Deposition Perjury” and “Key Regulatory and Compliance Considerations for Smalll and Regional Broker/Dealers”).

Keywords: Duty of Candor; Rules Governing Deposition Breaks; Managing Compliance Priorities; Working with State Regulators and Other Authorities

Affiliations:  1: Sullivan & Cromwell LLP; 2: Stradley Ronon Stevens & Young, LLP.

Subscribers click here to open full text in PDF.
Non-subscribers click here to purchase this article. $90

< previous article |return to table of contents