SEC adopts amendments to regulation SHO

By Forbes Jessica   Gnall Gregory P.   Lombardo Christine M.  

Journal of Investment Compliance, Vol. 11, Iss. 3, 2010-09 ,pp. : 14-19

Emerald Group Publishing Ltd

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SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts

By Gittleman Charles S.   Sacks Russell D.  

Journal of Investment Compliance, Vol. 9, Iss. 1, 2008-03 ,pp. : 30-34

Emerald Group Publishing Ltd

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SEC adopts consolidated audit trail

By Brigagliano James   Campion Kevin   Katz David   Blake Andrew  

Journal of Investment Compliance, Vol. 13, Iss. 4, 2012-11 ,pp. : 18-24

Emerald Group Publishing Ltd

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SEC adopts new anti-fraud rule for private funds

By Fries Elizabeth Shea   Galloway Jackson B.R.  

Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. : 32-34

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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