Author: Heilizer Deborah G. Rubin Brian L. Gillespie Shanyn L.
Publisher: Emerald Group Publishing Ltd
ISSN: 1528-5812
Source: Journal of Investment Compliance, Vol.11, Iss.4, 2010-11, pp. : 4-8
Disclaimer: Any content in publications that violate the sovereignty, the constitution or regulations of the PRC is not accepted or approved by CNPIEC.
Abstract
Related content
New FINRA books and records rules
By Lee Yoon-Young Newman Bruce H. Kubota Kohki M.
Journal of Investment Compliance, Vol. 12, Iss. 3, 2011-09 ,pp. :
Summary of selected FINRA Regulatory Notices
Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. :