Supreme Court holds that the federal securities laws implicitly preclude application of the antitrust laws to the underwriting of initial public offerings

By Frischer Harry   Ratner Stephen L.   Gold Sarah S.   Mashberg Gregg M.   Lazaroff Michael S.  

Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. : 35-38

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Court holds that adviser recommending that its clients invest in Bayou Funds, which turned out to be Ponzi schemes, is not liable for violating Federal Securities Antifraud Statute

By Cauley Thomas   Rauscher Scott  

Journal of Investment Compliance, Vol. 10, Iss. 4, 2009-11 ,pp. : 23-25

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

SEC holds roundtable on securities lending/short selling

By Campion Kevin J.   Hirschfeld Arik  

Journal of Investment Compliance, Vol. 11, Iss. 1, 2010-01 ,pp. : 17-31

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a-6 and foreign broker-dealers

By Eisert Edward   Katz Tony   Carotenuto Giovanni   Ball Melanie F.  

Journal of Investment Compliance, Vol. 14, Iss. 2, 2013-06 ,pp. : 50-56

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

JOBS Act eases securities-law regulation of smaller companies

By Parrino Richard J.   Romeo Peter J.  

Journal of Investment Compliance, Vol. 13, Iss. 3, 2012-09 ,pp. : 27-35

Emerald Group Publishing Ltd

Access to resources Recommend Favorite