PrintShare


Publications

Related Publications

Guidance on Cybersecurity: What Broker-Dealers and Investment Advisers Need to Have in Place, Client Advisory, January 30, 2017 by Valentino Vasi and Brielle E. Kilmartin

New York State’s Revised Cybersecurity Legislation for Financial Institutions: What You Need to Know, Client Advisory, January 19, 2017 by Valentino Vasi

FINRA Proposes Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules, Client Advisory, November 9, 2016 by Valentino Vasi

New FINRA Supervisory Rules, Client Advisory, October 15, 2014 by Faith Colish, Ethan L. Silver and Paulette Smith, Senior Legal Assistant

What Is and Is Not Covered by the M&A Broker No-Action Letter, Financial Fraud Law Report, August 1, 2014 by Ethan L. Silver

Fund Sales: Should the Marketer Be Registered?, Journal of Taxation and Regulation of Financial Institutions, February 1, 2014 by Ethan L. Silver and Faith Colish


© Copyright 2017 Carter Ledyard & Milburn LLP