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LexisNexis® Corporate & Securities Law Community Podcast featuring Brian L. Rubin of Sutherland Asbill & Brennan on Whether Broker-Dealers Should Self Report Problems

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Content provided by LexisNexis®. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by LexisNexis® or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.
On this edition, Brian Rubin of Sutherland Asbill & Brennan discusses the issues involved in deciding whether broker-dealers should self-report problems, assuming no regulatory obligation to do so. He talks about some of the differences between SEC and FINRA standards in considering whether a firm should self report. Copyright©2010 LexisNexis, a division of Reed Elsevier Inc. Visit www.lexisnexis.com/community/corpsec.
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39 episoade

Artwork
iconDistribuie
 
Manage episode 306852910 series 1008022
Content provided by LexisNexis®. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by LexisNexis® or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.
On this edition, Brian Rubin of Sutherland Asbill & Brennan discusses the issues involved in deciding whether broker-dealers should self-report problems, assuming no regulatory obligation to do so. He talks about some of the differences between SEC and FINRA standards in considering whether a firm should self report. Copyright©2010 LexisNexis, a division of Reed Elsevier Inc. Visit www.lexisnexis.com/community/corpsec.
  continue reading

39 episoade

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