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

Access to resources Recommend Favorite

Supervisory obligations of broker-dealer legal and compliance personnel after the Urban case

By Blanc Roger D.   Kramer Howard L.   Miller Martin R.   Comstock Matthew B.  

Journal of Investment Compliance, Vol. 13, Iss. 2, 2012-06 ,pp. : 40-43

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

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

Access to resources Recommend Favorite

Private equity securities: A compliance update for broker-dealers and investment advisers

By H. Walsh John  

Journal of Investment Compliance, Vol. 4, Iss. 1, 2003-01 ,pp. : 26-32

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

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

Access to resources Recommend Favorite