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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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

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SEC publishes proposed rule to modify oil and gas reporting requirements

By Goldstein Joseph I.   Morse Adriaen M.  

Journal of Investment Compliance, Vol. 9, Iss. 3, 2008-09 ,pp. : 41-43

Emerald Group Publishing Ltd

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SEC adopts new anti-fraud rule for private funds

By Fries Elizabeth Shea   Galloway Jackson B.R.  

Journal of Investment Compliance, Vol. 8, Iss. 4, 2007-11 ,pp. : 32-34

Emerald Group Publishing Ltd

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Mutual funds, NSMIA and the state securities regulators – When do state enforcement remedies become improper regulation?

By Hardy Callcott W.  

Journal of Investment Compliance, Vol. 5, Iss. 4, 2005-01 ,pp. : 46-54

Emerald Group Publishing Ltd

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