Brokers are fiduciaries — now what? The new US federal fiduciary best interest of the customer standard of care and its impact on existing FINRA regulation of wrap accounts

By Miller Daniel   Maloney Eugene  

Journal of Securities Operations & Custody, Vol. 3, Iss. 2, 2010-08 ,pp. : 147-165

Henry Stewart Publications

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FINRA IPO Allocation Rule; investment funds must now consider compliance

By Sacks Russell   Blankenship Michael   Blau Steven  

Journal of Investment Compliance, Vol. 12, Iss. 1, 2011-04 ,pp. : 35-40

Emerald Group Publishing Ltd

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All clear?

By  

Journal of Risk Management in Financial Institutions, Vol. 3, Iss. 2, 2010-01 ,pp. : 114-115

Henry Stewart Publications

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FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities

By Forbes Jessica   Gnall Gregory P.  

Journal of Investment Compliance, Vol. 11, Iss. 2, 2010-01 ,pp. : 42-45

Emerald Group Publishing Ltd

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Significant changes to FINRA's Know Your Customer and Suitability rules to take effect in 2011

By Polk S. Lawrence   Stadler Avital  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 8-10

Emerald Group Publishing Ltd

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