ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
Robert Khuzami speaks: on his first 100 days as division director, and the future of the enforcement division pp. 6-9(4) Authors: Salehi, Nader H.; Russello, Gerald J.; Hull, Vincent
Conversations at the top: the tone of the independent chief compliance officer pp. 10-15(6) Author: Sobol, Rob
Short sale developments: "close-out" requirement made permanent and additional regulatory initiatives expected from the Securities and Exchange Commission pp. 16-19(4) Authors: Yim, Soo J.; Silva, Timothy F.; Nicolas, Stephanie; Smith, Tiffany J.
Short-selling: progress on international harmonization and forthcoming changes in the UK pp. 20-22(3) Authors: Ng, Leonard; Hunter, Tom
Court holds that adviser recommending that its clients invest in Bayou Funds, which turned out to be Ponzi schemes, is not liable for violating Federal Securities Antifraud Statute pp. 23-25(3) Authors: Cauley, Thomas; Rauscher, Scott
Reporting tax return positions inconsistent with IRS authority ‐ between "a rock and a hard place" pp. 26-30(5) Authors: Lorence, Roger D.; Etkind, Steven M.
The regulation of private placements in France pp. 42-50(9) Authors: Cafritz, Eric; Genicot, Olivier; Ternon, Benoit
Implementing the new summary prospectus rule: done right it will save both time and money; done wrong and look out for the bottom line pp. 51-53(3) Author: Levering, Jeff
Regulating credit default swaps as insurance: a law and economics perspective pp. 54-64(11) Author: Zolnor, Matthew A.
Summary of selected FINRA regulatory notices and disciplinary actions July-August 2009 pp. 65-83(19) Author: Davis, Henry A.
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