Supreme Court holds that §10(b) of the Exchange Act applies only to domestic securities transactions

By Frischer Harry   Dropkin Charles E.   Scullion Jennifer R.   Spinogatti Richard L.  

Journal of Investment Compliance, Vol. 11, Iss. 4, 2010-11 ,pp. : 41-44

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States

By Gittleman Charles S.   Sacks Russell D.  

Journal of Investment Compliance, Vol. 7, Iss. 4, 2006-10 ,pp. : 38-44

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

The Sarbanes-Oxley Act of 2002 effects sweeping changes to the US federal securities laws

By H. Hein Michael   E. Neimeth Clifford   N. Rosner Ira   S. Watts Fern  

Journal of Investment Compliance, Vol. 3, Iss. 2, 2002-01 ,pp. : 5-12

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Court holds that adviser recommending that its clients invest in Bayou Funds, which turned out to be Ponzi schemes, is not liable for violating Federal Securities Antifraud Statute

By Cauley Thomas   Rauscher Scott  

Journal of Investment Compliance, Vol. 10, Iss. 4, 2009-11 ,pp. : 23-25

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

The impact of bank venture capital on initial public offerings

By Dolvin Steven  

Venture Capital: An International Journal of Entrepreneurial Finance, Vol. 9, Iss. 2, 2007-04 ,pp. : 145-164

Routledge Ltd

Access to resources Recommend Favorite