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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CFTC issues final rules prohibiting market manipulation

By Lurton Allison   Massey William   Fleishman Robert S.  

Journal of Investment Compliance, Vol. 12, Iss. 4, 2011-11 ,pp. : 18-20

Emerald Group Publishing Ltd

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SEC adopts final rules on Dodd-Frank Whistleblower Program

By Clark Michael E.   Lese Laurence S.   Avett F. Reid  

Journal of Investment Compliance, Vol. 12, Iss. 3, 2011-09 ,pp. : 33-38

Emerald Group Publishing Ltd

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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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New era dawns for listed companies: NYSE and Nasdaq adopt final corporate governance rules

By B. Tsaganos Vasiliki   R. Bard Lawrence   J. Moore Erika  

Journal of Investment Compliance, Vol. 4, Iss. 3, 2003-01 ,pp. : 35-46

Emerald Group Publishing Ltd

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