Period of time： 2014年3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 13,issue 3
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FINRA's 2011 enforcement record, priorities, and trends
By Heilizer Deborah G.,Rubin Brian L.,McCormick Andrew M. in (2012)
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.
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May foreign benefits plans invest in new issues under FINRA Rules 5130 and 5131
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.JOBS Act eases securities-law regulation of smaller companies
By Parrino Richard J.,Romeo Peter J. in (2012)
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.CFTC's rulemaking on the segregation of cleared swaps customer collateral: LSOC and beyond
By Architzel Paul M.,Walker Petal P. in (2012)
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.CFTC and SEC jointly adopt final swap entity definition rules
By Lurton Allison,Bennett Bruce,Massey William,Fleishman Robert,Herman Mark,Sorrell Michael,Hewitt Ronald in (2012)
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.SEC approves MSRB's new underwriter disclosure requirements
By Callcott W. Hardy,Baird Elizabeth H.,Foley Timothy C.,Tyrrell Paul M. in (2012)
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.Selected FINRA notices and disciplinary actions, March-May 2012
Journal of Investment Compliance,volume 13,issue 3 , Vol. 13, Iss. 3, 2012-09 , pp.