Journal of Investment Compliance,volume 11,issue 4  (11-2014)

Period of time： 2014年4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 4

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FINRA's sanctions in 2009: a sign of things to come?

By Heilizer Deborah G.,Rubin Brian L.,Gillespie Shanyn L. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 4-8

Emerald Group Publishing Ltd

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US financial reform law: key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications

By Holton Thomas John,Raymond Paul B.,Stefanak Curtis in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 9-18

Emerald Group Publishing Ltd

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US Financial Reform Law: key changes for non-US advisers and certain investors in hedge and private equity funds

By Godfrey Anne Marie,Holton Thomas John,Raymond Paul B.,Stefanak Curtis in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 19-26

Emerald Group Publishing Ltd

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Enhanced protection of investors and other changes to securities regulations

By Martin David B.H.,Gay Brandon K. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 27-36

Emerald Group Publishing Ltd

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Dodd-Frank beefs up SEC and CFTC enforcement

By Bayless David,Kornblau David L. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 37-40

Emerald Group Publishing Ltd

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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. in (2010)

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

Emerald Group Publishing Ltd

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FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations

By Santangelo Betty,Stokes Amber in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 45-50

Emerald Group Publishing Ltd

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In Rule 12b-1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements

By Greene Nathan J. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 51-55

Emerald Group Publishing Ltd

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Second Circuit rules securities fraud claim of mutual fund shareholders relating to affiliated transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary duty claim

By Dodds William K.,Vargo Brian S. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 56-58

Emerald Group Publishing Ltd

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Summary of selected FINRA Regulatory notices July-September 2010

By Davis Henry A. in (2010)

Journal of Investment Compliance,volume 11,issue 4 , Vol. 11, Iss. 4, 2010-11 , pp. 59-78

Emerald Group Publishing Ltd

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Total 10 item(s)