SEC amends the Advisers Act custody rule

By Forbes Jessica   Molle Mark  

Journal of Investment Compliance, Vol. 11, Iss. 2, 2010-01 ,pp. : 36-38

Emerald Group Publishing Ltd

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Who is listening? The SEC emphasizes importance of cybersecurity disclosure

By Krus Cynthia M.  

Journal of Investment Compliance, Vol. 13, Iss. 1, 2012-04 ,pp. : 30-32

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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SEC proposes large trader reporting system

By Sacks Russell D.   Blankenship Michael J.  

Journal of Investment Compliance, Vol. 11, Iss. 3, 2010-09 ,pp. : 8-13

Emerald Group Publishing Ltd

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SEC approves sweeping changes to FINRA's regulatory reporting rules

By Weiss Harry J.   Lee Yoon-Young   Newman Bruce H.   Eckert Paul R.   Hanselmann Claire R.  

Journal of Investment Compliance, Vol. 12, Iss. 1, 2011-04 ,pp. : 65-69

Emerald Group Publishing Ltd

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