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

August 17, 2010
Posted with permission. Copyright©2010 LexisNexis, a division of Reed Elsevier Inc. Visit www.lexisnexis.com/community/corpsec

Litigation Partner Brian L. Rubin 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.

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