Article
Broker-Dealer Regulation Treatise
November 15, 2023
| Practising Law Institute

Partner Russell Sacks and Counsel Steven Blau authored three chapters in the second edition of the Practising Law Institute's Broker-Dealer Regulation Treatise. The chapters include Chapter 52: Private Banking and Wealth ManagementChapter 17: Research and Research Analysts and Chapter 49: Investment Banking Compliance, authored with contributions from Sean Kelly, George Williams, Jennifer Neilsson, Shaswat Das, Sumon Dantiki, Timothy Fesenmyer and Andrew Michaelson.

You can purchase the full treatise here.

Authors
Russell David Sacks
Partner
Corporate
Steven Robert Blau
Counsel
Corporate
Patrick Sean Kelly (Sean)
Senior Associate
Corporate
Jennifer A. Neilsson (Jenny)
Partner
Real Estate & Funds
Shaswat K. Das
Counsel
Government Matters & Regulation
Andrew Michaelson
Partner
Special Matters & Government Investigations
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