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Robert Khuzami speaks: on his first 100 days as division director, and the future of the enforcement division

By Salehi Nader H.,Russello Gerald J.,Hull Vincent in (2009)

Emerald Group Publishing Ltd

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Conversations at the top: the tone of the independent chief compliance officer

By Sobol Rob in (2009)

Emerald Group Publishing Ltd

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Short sale developments: "close-out" requirement made permanent and additional regulatory initiatives expected from the Securities and Exchange Commission

By Yim Soo J.,Silva Timothy F.,Nicolas Stephanie,Smith Tiffany J. in (2009)

Emerald Group Publishing Ltd

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Short-selling: progress on international harmonization and forthcoming changes in the UK

By Ng Leonard,Hunter Tom in (2009)

Emerald Group Publishing Ltd

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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 in (2009)

Emerald Group Publishing Ltd

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Reporting tax return positions inconsistent with IRS authority - between "a rock and a hard place"

By Lorence Roger D.,Etkind Steven M. in (2009)

Emerald Group Publishing Ltd

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The regulation of private placements in France

By Cafritz Eric,Genicot Olivier,Ternon Benoit in (2009)

Emerald Group Publishing Ltd

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Implementing the new summary prospectus rule: done right it will save both time and money; done wrong and look out for the bottom line

By Levering Jeff in (2009)

Emerald Group Publishing Ltd

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Regulating credit default swaps as insurance: a law and economics perspective

By Zolnor Matthew A. in (2009)

Emerald Group Publishing Ltd

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Summary of selected FINRA regulatory notices and disciplinary actions July-August 2009

By Davis Henry A. in (2009)

Emerald Group Publishing Ltd

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