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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Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions

By Weidner James   Lane Christopher   Peterson Sean  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 33-36

Emerald Group Publishing Ltd

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Summary and analysis of Dodd-Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibility

By Sorady Marybeth   Domina Daren   Cohen Wendy   Santo Fred   Bregstein Henry   Wiener Meryl   Okoshi Marilyn   Governale Jack P.  

Journal of Investment Compliance, Vol. 12, Iss. 4, 2011-11 ,pp. : 4-17

Emerald Group Publishing Ltd

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SEC adopts and proposes new rules under Sarbanes-Oxley

By P. Lander Guy  

Journal of Investment Compliance, Vol. 3, Iss. 3, 2002-01 ,pp. : 76-95

Emerald Group Publishing Ltd

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Dodd-Frank clawbacks: hot issue for 2012

By Earle James E.   Wilkerson Allison  

Journal of Investment Compliance, Vol. 13, Iss. 1, 2012-04 ,pp. : 41-44

Emerald Group Publishing Ltd

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