ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
Operating company or investment company: what would a reasonable investor think?
Menconi, Christopher D.
Sound policies and procedures: the basis of a sound compliance program
Net trading, market making, and the SEC's view of best execution
Becker, Brandon; Newman, Bruce H.; Owens, Andre; Yim, Soo J.; Oberg, Christie
Revisiting insider trading in the debt markets: lessons for debt investors and members of committees in bankruptcy cases
Groskaufmanis, Karl A.; Ochs, Kalman
Tellabs, Inc. v. Makor Issues & Rights, Ltd ‐ a uniform test for pleading scienter in securities fraud cases
Duke, P. Benjamin
SEC adopts new anti-fraud rule for private funds
Fries, Elizabeth Shea; Galloway, Jackson B.R.
Supreme Court holds that the federal securities laws implicitly preclude application of the antitrust laws to the underwriting of initial public offerings
Frischer, Harry; Ratner, Stephen L.; Gold, Sarah S.; Mashberg, Gregg M.; Lazaroff, Michael S.
SEC adopts amendments to Regulation SHO
Kaswell, Stuart J.; Rosenblat, Alan; Ha, Christopher S.
State securities legend requirements in Rule 506 private placement memos
Gale, Adam D.
SEC and BaFin sign regulatory cooperation arrangement
China opens up issuance of Renminbi Bonds in Hong Kong
Heng, Connie; Yanping, Cao; Li, Rupert; TieCheng, Yang
Summary of selected FINRA Regulatory Notices
Davis, Henry A.