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08/17/2010 01:00:00 PM EST

Brian L. Rubin of Sutherland Asbill & Brennan on Whether Broker-Dealers Should Self Report Problems

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LexisNexis Legal Business Community Staff

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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