FINRA IPO Allocation Rule; investment funds must now consider compliance

Author： Sacks Russell   Blankenship Michael   Blau Steven  

Publisher： Emerald Group Publishing Ltd

ISSN： 1528-5812

Source： Journal of Investment Compliance, Vol.12, Iss.1, 2011-04, pp. : 35-40

Disclaimer: Any content in publications that violate the sovereignty, the constitution or regulations of the PRC is not accepted or approved by CNPIEC.

Previous Menu Next

Abstract

Related content

Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers

By Majewski Thomas M.  

Journal of Investment Compliance, Vol. 7, Iss. 4, 2006-10 ,pp. : 23-27

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

IPO share allocation and conflicts of interest

By Kojima Naoki  

Annals of Finance, Vol. 3, Iss. 3, 2007-07 ,pp. : 369-387

Springer Publishing Company

Access to resources Recommend Favorite

Social Investment Funds

By Jack William  

World Bank Research Observer, Vol. 16, Iss. 1, 2001-03 ,pp. : 109-124

World Bank Publications

Access to resources Recommend Favorite

Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance

By Pittman Edward L.   Krause Cheryl A.   Bogle Thomas C.   Danilewitz Justin C.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 11-15

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

FINRA's all public panel option is now available in all customer cases

By Ward Bryan M.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 16-18

Emerald Group Publishing Ltd

Access to resources Recommend Favorite