SEC amends disclosure and reporting

By Parrino Richard J.   Sung Miyun  

Journal of Investment Compliance, Vol. 10, Iss. 1, 2009-03 ,pp. : 47-50

Emerald Group Publishing Ltd

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SEC approves MSRB's new underwriter disclosure requirements

By Callcott W. Hardy   Baird Elizabeth H.   Foley Timothy C.   Tyrrell Paul M.  

Journal of Investment Compliance, Vol. 13, Iss. 3, 2012-09 ,pp. : 69-73

Emerald Group Publishing Ltd

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Pay to play: recent SEC actions highlight importance of compliance controls

By Pittman Edward   Carroll Brenden   Murphy Sean  

Journal of Investment Compliance, Vol. 14, Iss. 2, 2013-06 ,pp. : 21-27

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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How much (and how conflicted) is that portfolio manager in the window? Implications of the SEC proposed rule on enhanced portfolio management disclosure for registered investment companies

By A. Hartmann James  

Journal of Investment Compliance, Vol. 5, Iss. 3, 2004-01 ,pp. : 55-58

Emerald Group Publishing Ltd

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