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Journal of Investment Compliance logo

Publisher: Emerald Group Publishing Limited

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Volume 11, Number 3, 2010

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What does Merck & Co. v. Reynolds mean for the future of the statute of limitations defense in securities fraud litigation?
pp. 4-7(4)
Authors: Weissman, Andrew B.; Robinson, Andrea J.; Davies, Christopher; Valentine, John A.; Titolo, Theresa; Birlem, Jennifer K.

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SEC proposes large trader reporting system
pp. 8-13(6)
Authors: Sacks, Russell D.; Blankenship, Michael J.

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SEC adopts amendments to regulation SHO
pp. 14-19(6)
Authors: Forbes, Jessica; Gnall, Gregory P.; Lombardo, Christine M.

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FINRA proposes to require registration of back office and operations personnel
pp. 20-24(5)
Authors: Weissmann, Michael R.; Tyrrell, Paul M.

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FSA imposes largest ever fine on an individual
pp. 25-27(3)
Authors: Bremner, Elisabeth; Subramanian, Sumitra

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Summary of selected FINRA regulatory notices April-June 2010
pp. 34-57(24)
Author: Davis, Henry A.

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