Paper Instructions.pptx - Each student will choose a single enforcement case either discussed in class or one of your own to review analyze and submit

Paper Instructions.pptx - Each student will choose a single...

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Individual Paper: Overview Each student will choose a single enforcement case either discussed in class, or one of your own, to review, analyze and submit via email. The enforcement case should be complex and involve a single/ multiple issues of a breach in legal and ethical rules by a company. You should limit your case selection to one of the following executive branch agencies: 1) US Securities Exchange Commission (SEC), 2) US Commodity Futures Trading Commission (CFTC), or 3) US Department of Justice (DoJ). The enforcement case should cover an area of non- compliance discussed in class such as, fraud, market manipulation, disruptive trading practices (e.g., spoofing), bribery, money-laundering, sanctions violations, etc.
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  • Fall '19
  • U.S. Securities and Exchange Commission, Commodity Futures Trading Commission, DOJ, US Securities Exchange

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