Online Research Resources: Broker/Dealer Compliance Report (BNA)

If you are interested in a broker/dealer source that provides coverage of changes in federal and state securities laws, regulations, industry rules, and legal proceedings at federal/state levels, then take a look at BNA's Broker/Dealer Compliance Report. The Report also provides news of the latest SEC, NASD Regulation, NYSE actions as well as various self-regulatory organization policies.  Coverage dates to September 22, 1999.

To access the Broker/Dealer Compliance Report (BNA):

• Click the "Online Resources Subject List" link
• Then, click "Commercial and Corporate Law" link
• Scroll down to "Broker/Dealer Compliance Report (BNA)"

Ernster, the Virtual Library Cat

Breaking Bad Compliance Lessons

To commemorate the series finale of Breaking Bad, there are several top series moments, characters, quotes etc. all over the internet this weekend.  Law Technology News has gone one step further and actually put together a list of compliance lessons from Breaking Bad.  It proves to be an interesting reading, click here for the entire article.  For fans of Breaking Bad, happy watching tonight!

Ernster, the Virtual Library Cat