New FINRA rules aim to protect seniors and other vulnerable market participants
Brown, Brant K, Anderson, James E, Bullitt, P. Georgia, Cottrell, Amelia A
Published in The journal of investment compliance (29.11.2018)
Published in The journal of investment compliance (29.11.2018)
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Journal Article
Don't Call It a Comeback: The SEC's Continued Pursuit of "Broken Windows"
Cottrell, Amelia A, Haskin, Benjamin J, Haynes, Patricia O
Published in The Investment Lawyer (01.04.2019)
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Published in The Investment Lawyer (01.04.2019)
Trade Publication Article
Will the securities and exchange commission's proposed changes to administrative proceedings quiet critics?
Gray, Elizabeth P, Cottrell, Amelia A, Stellmach, William, Hanniford, Katherine D
Published in The Investment Lawyer (01.12.2015)
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Published in The Investment Lawyer (01.12.2015)
Journal Article
Trade Publication Article
Regulatory monitor
Farr, Willkie, Llp, Gallagher, Cottrell, Amelia A, Gray, Elizabeth P, Klotz, Martin B, Schachter, Michael S, Stellmach, William J, Hanniford, Katherine Doty
Published in The investment lawyer (01.02.2017)
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Published in The investment lawyer (01.02.2017)
Journal Article
US Supreme Court Unanimously Affirms Dirks v. SEC, Long-Standing Analysis of "Personal Benefit" for Purposes of Insider Trading Liability
Cottrell, Amelia A, Gray, Elizabeth P, Klotz, Martin B, Schachter, Michael S, Stellmach, William J, Hanniford, Katherine Doty
Published in The Investment Lawyer (01.02.2017)
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Published in The Investment Lawyer (01.02.2017)
Trade Publication Article