Dodd-Frank beefs up SEC and CFTC enforcement

By Bayless David   Kornblau David L.  

Journal of Investment Compliance, Vol. 11, Iss. 4, 2010-11 ,pp. : 37-40

Emerald Group Publishing Ltd

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CFTC and SEC whistleblower bounties: largely similar but important differences remain

By Davison Douglas J.   White Thomas W.   Bernstein Gail C.   Dube Michael R.   June Arian M.  

Journal of Investment Compliance, Vol. 13, Iss. 1, 2012-04 ,pp. : 36-38

Emerald Group Publishing Ltd

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CFTC and SEC jointly adopt final swap entity definition rules

By Lurton Allison   Bennett Bruce   Massey William   Fleishman Robert   Herman Mark   Sorrell Michael   Hewitt Ronald  

Journal of Investment Compliance, Vol. 13, Iss. 3, 2012-09 ,pp. : 51-59

Emerald Group Publishing Ltd

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Who's in and who's out? CFTC and SEC finalize the swap entity definitions

By Nolan Anthony R.G.   Gault-Brown Susan I.   Patent Lawrence B.  

Journal of Investment Compliance, Vol. 13, Iss. 4, 2012-11 ,pp. : 25-36

Emerald Group Publishing Ltd

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SEC and BaFin sign regulatory cooperation arrangement

By Lercara Angelo  

Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. : 51-55

Emerald Group Publishing Ltd

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