Related content

Broker-dealer customer complaints

By J. Donovan Daniel  

Journal of Investment Compliance, Vol. 5, Iss. 3, 2004-01 ,pp. : 21-25

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

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

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

Plug and play brokerage: the new model of the high-service open architecture broker-dealer

By Sobol Robert Norman  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 84-88

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

SEC staff highlights areas of focus in broker-dealer, investment adviser and investment company exams

By Blake Margaret R.  

Journal of Investment Compliance, Vol. 9, Iss. 4, 2008-11 ,pp. : 33-38

Emerald Group Publishing Ltd

Access to resources Recommend Favorite