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Survey of 2009 SEC Enforcement Cases Involving Broker-Dealers and Investment Advisers Presenters: Michele Layne, Associa

Survey of 2009 SEC Enforcement Cases Involving Broker-Dealers and Investment Advisers Presenters: Michele Layne, Associate Regional Director (Los Angeles) U.S. Securities and Exchange Commission Steven Hansen, Partner Bingham McCutchen LLP Boston, MA

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Beltway briefing - PowerPoint PPT Presentation

Survey of 2009 SEC Enforcement Cases Involving Broker-Dealers and Investment Advisers Presenters: Michele Layne, Associa