May foreign benefits plans invest in new issues under FINRA Rules 5130 and 5131

By Francis Samuel  

Journal of Investment Compliance, Vol. 13, Iss. 3, 2012-09 ,pp. : 13-20

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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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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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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