SEC guidance on broker-dealer expense-sharing arrangements

By Cohen Lawrence  

Journal of Investment Compliance, Vol. 4, Iss. 2, 2003-01 ,pp. : 60-62

Emerald Group Publishing Ltd

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Pay-to-play: SEC staff provides new guidance on Advisers Act Rule 206(4)-5

By Pittman Edward L.   Harvey Christopher P.   Sherman Michael L.   Carroll Brenden P.  

Journal of Investment Compliance, Vol. 12, Iss. 4, 2011-11 ,pp. : 26-30

Emerald Group Publishing Ltd

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The great soft dollar debate

By G. Tittsworth David   I. Edelstein Geoffrey  

Journal of Investment Compliance, Vol. 5, Iss. 2, 2004-01 ,pp. : 44-52

Emerald Group Publishing Ltd

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SEC staff updates guidance on shareholder proposals

By Romeo Peter J.   Parrino Richard J.   Greenslade Kevin K.   Bahn C. Alex  

Journal of Investment Compliance, Vol. 13, Iss. 1, 2012-04 ,pp. : 33-35

Emerald Group Publishing Ltd

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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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