Journal of Investment Compliance,volume 11,issue 2  (01-2014)

Period of time： 2014年2期

Publisher： Emerald Group Publishing Ltd

Founded in： 2000

Total resources： 40

ISSN： 1528-5812

Subject： F8 Finances

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Journal of Investment Compliance,volume 11,issue 2

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ABCs of ISDA agreements: advising the investor

By Robertson Robert A.,Perez-Giusti Gerardo in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 4-15

Emerald Group Publishing Ltd

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The control system in the Italian banking sector: recent changes in the application of Legislative Decree No. 231 of June 8, 2001

By Opromolla Gabriella,Maccarini Michela in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 16-22

Emerald Group Publishing Ltd

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Index futures trading, margin trading and securities lending in China finally launched

By Bryan Paget Dare,TieCheng Yang,Phua Patrick in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 23-26

Emerald Group Publishing Ltd

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Supreme Court upholds Gartenberg standard in Jones v. Harris

By Avery Cameron S.,Dykstra Paul H.,Phillips Richard M.,Pike Paulita A.,Rotunno W.,Williamson Gwendolyn A. in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 27-30

Emerald Group Publishing Ltd

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SEC provides details on amendments to money market fund rules

By Hunt John in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 31-35

Emerald Group Publishing Ltd

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SEC amends the Advisers Act custody rule

By Forbes Jessica,Molle Mark in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 36-38

Emerald Group Publishing Ltd

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SEC proposes changes to stock buyback safe harbor

By Cerveny Laurie A.,Wittlin Floyd I.,O'Brien Michael P.,Trocchio Michael R. in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 39-41

Emerald Group Publishing Ltd

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FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities

By Forbes Jessica,Gnall Gregory P. in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 42-45

Emerald Group Publishing Ltd

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FINRA implements same-day clearance process of shelf registration statements

By Bressman Stuart,Ghorra Theodore J. in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 46-48

Emerald Group Publishing Ltd

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Summary of selected FINRA regulatory notices January-March 2010

By Davis Henry A. in (2010)

Journal of Investment Compliance,volume 11,issue 2 , Vol. 11, Iss. 2, 2010-01 , pp. 49-62

Emerald Group Publishing Ltd

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Total 10 item(s)