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Response: Opacity, Complexity, and Self-Regulation in Investment Banking

Professor Alan D. Morrison & Professor William J. Wilhelm, Jr · April 2015
83 Geo. Wash. L. Rev. Arguendo 1

Response to Andrew F. Tuch, The Self-Regulation of Investment Bankers
83 Geo. Wash. L. Rev. 101 (2014).

We discuss the …

The Self-Regulation of Investment Bankers

Professor Andrew F. Tuch
83 GEO. WASH. L. REV. 101

As broker-dealers, investment bankers must register with the Financial
Industry Regulatory Authority (“FINRA”) and comply with its rules, including
the requirement to “observe high standards of commercial honor and just…