US Securities and Exchange Commission amends dollar threshold tests under qualified client standard, requires exclusion of net equity in primary residence

By Cohen Rory M.  

Journal of Investment Compliance, Vol. 13, Iss. 2, 2012-06 ,pp. : 48-51

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Anticipating market model failure: Competitive pressure and the mortgage backed securities market

By Whitmore Jean Czerlinski  

Journal of Risk Management in Financial Institutions, Vol. 7, Iss. 2, 2014-03 ,pp. : 145-152

Henry Stewart Publications

Access to resources Recommend Favorite

Net trading, market making, and the SEC's view of best execution

By Becker Brandon   Newman Bruce H.   Owens Andre   Yim Soo J.   Oberg Christie  

Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. : 12-21

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Short sale developments: "close-out" requirement made permanent and additional regulatory initiatives expected from the Securities and Exchange Commission

By Yim Soo J.   Silva Timothy F.   Nicolas Stephanie   Smith Tiffany J.  

Journal of Investment Compliance, Vol. 10, Iss. 4, 2009-11 ,pp. : 16-19

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