ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
Changing times: key issues for securities regulation and compliance
Sorcher, Alan E.; Kramer, George R.
The effect of the Arthur Andersen verdict on inside counsel
NY, New York; NY, New York; NY, New York
Wall Street’s e-mail nightmare
Burke, Patrick; Junk, Daniel L.
The Sarbanes-Oxley Act of 2002
Guy P. Lander Davies Ward Phillips & Vineberg LLP, New York, NY
Deconstructing Caiola in light of the CFMA: can a security still be extracted from a swap?
DC, Brandon Becker Wilmer Cutler & Pickering Washington; DC, Mark S. Shelton Wilmer Cutler & Pickering Washington; DC, Cathy H. Ahn Wilmer Cutler & Pickering Washington
The regulation of wrap fee programs – Part I
Terrance J. O’Malley Investment Management Group at LeBoeuf, Lamb, Greene & MacRae, LLP; Kenneth E. Neikirk Investment Management Group at LeBoeuf, Lamb, Greene & MacRae, LLP
On-line brokers may be better positioned than regular brokers in regard to money laundering laws
Hogan, Michael J.; Schneider, Howard; Schadé, Elisabeth J.
Broker liability: the three faces of Zandford
Christian J. Mixter Morgan, Lewis & Bockius LLP in Washington, DC