Staying out of trouble with the SEC: Tips for the brokerage firm
By Dexter B. Johnson
Business and Securities Law,
March 1999
Over four years ago, the Securities Exchange Commission ("SEC") caused considerable consternation within the management ranks of some of the nation's largest brokerage firms when, through a series of high profile cases, it began to dramatically increase the number of administrative actions and sanctions against brokerage firm supervisors and managers.
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