WEEK THREE MATERIALS (SPRING)

In re: E.F. Hutton and Co.

SEC v. First Jersey Securities

Berko v. SEC

EnPointe Complaint

Beyond Precedent, Arbitrial Extensions of Securites Law

Financial Planning Association v. SEC

Free Based Broakerage Rule Vacated By Court

NASD Manual

Walk-in Medical Center, Inc. v. Breuer Capital Corp

SEC Letter