P-ISSN 0002-4678
E-ISSN 2162-4151
Vol. 73, Issue 2, 2010March 03, 2010 EDT
BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA’S PROPOSAL TO MODIFY THE “BANK BROKER-DEALER RULE”
BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA’S PROPOSAL TO MODIFY THE “BANK BROKER-DEALER RULE”
Jill I. Gross, Edward Pekarek,
Financial Industry Regulatory AuthorityNational Association of Securities Dealersbank broker-dealer rulecustomer confusiondisclosure requirementsnetworking arrangements
Articles in Vol. 73, Issue 2, 2010
Vol. 73, Issue 2, 2010
- “EATING YOUR SEED CORN”: A NOTE ON NEW YORK STATE’S FISCAL POLICY FROM LIEUTENANT GOVERNOR RAVITCHRichard Ravitch
- TRANSPARENCY AND BANK SUPERVISIONJames E. Kelly
- SO YOU THINK YOU WANT TO BUY A BANK?David L. Glass
- BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA’S PROPOSAL TO MODIFY THE “BANK BROKER-DEALER RULE”Jill I. GrossEdward Pekarek
- REVIEW OF THE POLICY DEBATE OVER SHORT SALE REGULATION DURING THE MARKET CRISISDavid P. McCaffrey
- RAND INSTITUTE FOR CIVIL JUSTICE REPORT ON THE ABUSE OF MEDICAL DIAGNOSTIC PRACTICES IN MASS TORT LITIGATION: LESSONS LEARNED FROM THE “PHANTOM” SILICA EPIDEMIC THAT MAY DETER LITIGATION SCREENING ABUSEMark A. BehrensCorey Schaecher
- CALLING THEIR SHOTS: MIFFED MINOR LEAGUERS, THE STEROID SCANDAL, AND EXAMINING THE USE OF SECTION 1 OF THE SHERMAN ACT TO HOLD MLB ACCOUNTABLEJonathan D. Gillerman
- AFTER THE STORM: UNMASKING PUBLICLY-TRADED, PRIVATE EQUITY FIRMS TO CREATE VALUE THROUGH SHAREHOLDER DEMOCRACYTrevor M. Gomberg
- AIDING AND ABETTING, A MADOFF FAMILY AFFAIR: WHY SECONDARY ACTORS SHOULD BE HELD ACCOUNTABLE FOR SECURITIES FRAUD THROUGH THE RESTORATION OF THE PRIVATE RIGHT OF ACTION FOR AIDING AND ABETTING LIABILITY UNDER THE FEDERAL SECURITIES LAWSMelissa C. Nunziato
Jill I. Gross & Edward Pekarek, BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA’S PROPOSAL TO MODIFY THE “BANK BROKER-DEALER RULE,” 73 Albany Law Review (2010).