ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
FINRA's sanctions in 2009: a sign of things to come?
Heilizer, Deborah G.; Rubin, Brian L.; Gillespie, Shanyn L.
US financial reform law: key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications
Holton, Thomas John; Raymond, Paul B.; Stefanak, Curtis
US Financial Reform Law: key changes for non-US advisers and certain investors in hedge and private equity funds
Godfrey, Anne Marie; Holton, Thomas John; Raymond, Paul B.; Stefanak, Curtis
Enhanced protection of investors and other changes to securities regulations
Martin, David B.H.; Gay, Brandon K.
Dodd-Frank beefs up SEC and CFTC enforcement
Bayless, David; Kornblau, David L.
Supreme Court holds that §10(b) of the Exchange Act applies only to domestic securities transactions
Frischer, Harry; Dropkin, Charles E.; Scullion, Jennifer R.; Spinogatti, Richard L.
FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations
Santangelo, Betty; Stokes, Amber
In Rule 12b-1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements
Greene, Nathan J.
Second Circuit rules securities fraud claim of mutual fund shareholders relating to affiliated transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary duty claim
Dodds, William K.; Vargo, Brian S.
Summary of selected FINRA Regulatory notices July-September 2010
Davis, Henry A.