SEC releases study on the fiduciary duty of investment advisers and broker-dealers

By Forbes Jessica   Gnall Gregory P.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 4-7

Emerald Group Publishing Ltd

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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

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Hedge fund marketing by broker-dealers questions and comments in response to recent developments

By R. Butowsky Michael   L. Gibbons Michele  

Journal of Investment Compliance, Vol. 4, Iss. 3, 2003-01 ,pp. : 7-12

Emerald Group Publishing Ltd

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Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers

By Majewski Thomas M.  

Journal of Investment Compliance, Vol. 7, Iss. 4, 2006-10 ,pp. : 23-27

Emerald Group Publishing Ltd

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New PATRIOT Act deadlines approach for broker-dealers: Customer identification programs to be implemented by October 1, 2003

By Santangelo Betty   Jacobs Margaret  

Journal of Investment Compliance, Vol. 4, Iss. 2, 2003-01 ,pp. : 45-53

Emerald Group Publishing Ltd

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