New scrutiny of broker-dealersâ–™ expense sharing arrangements

By Cohen Lawrence  

Journal of Investment Compliance, Vol. 3, Iss. 4, 2003-01 ,pp. : 40-43

Emerald Group Publishing Ltd

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Broker-dealer customer complaints

By J. Donovan Daniel  

Journal of Investment Compliance, Vol. 5, Iss. 3, 2004-01 ,pp. : 21-25

Emerald Group Publishing Ltd

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SEC staff highlights areas of focus in broker-dealer, investment adviser and investment company exams

By Blake Margaret R.  

Journal of Investment Compliance, Vol. 9, Iss. 4, 2008-11 ,pp. : 33-38

Emerald Group Publishing Ltd

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NASD expands broker-dealer's duty of best execution

By Yim Soo J.   Öberg Christie Farris  

Journal of Investment Compliance, Vol. 8, Iss. 1, 2007-03 ,pp. : 25-28

Emerald Group Publishing Ltd

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Supervisory obligations of broker-dealer legal and compliance personnel after the Urban case

By Blanc Roger D.   Kramer Howard L.   Miller Martin R.   Comstock Matthew B.  

Journal of Investment Compliance, Vol. 13, Iss. 2, 2012-06 ,pp. : 40-43

Emerald Group Publishing Ltd

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