Hedge fund marketing overview

By Johnson Ethan W.  

Journal of Investment Compliance, Vol. 7, Iss. 2, 2006-04 ,pp. : 48-51

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

SEC releases study on the fiduciary duty of investment advisers and broker-dealers

By Forbes Jessica   Gnall Gregory P.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 4-7

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Private equity securities: A compliance update for broker-dealers and investment advisers

By H. Walsh John  

Journal of Investment Compliance, Vol. 4, Iss. 1, 2003-01 ,pp. : 26-32

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

New PATRIOT Act deadlines approach for broker-dealers: Customer identification programs to be implemented by October 1, 2003

By Santangelo Betty   Jacobs Margaret  

Journal of Investment Compliance, Vol. 4, Iss. 2, 2003-01 ,pp. : 45-53

Emerald Group Publishing Ltd

Access to resources Recommend Favorite