Journal of Investment Compliance logo

Publisher: Emerald Group Publishing Limited

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Volume 12, Number 1, 2011

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FINRA IPO Allocation Rule; investment funds must now consider compliance
pp. 35-40(6)
Authors: Sacks, Russell; Blankenship, Michael; Blau, Steven

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Electronic trading agreements
pp. 41-43(3)
Authors: Alter, Beth; Goodwyn, Lauri

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Commodities tax compliance challenges: Dodd-Frank and beyond
pp. 44-49(6)
Author: Lorence, Roger D.

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Regulatory change for financial institutions: crossing the ocean in an open boat
pp. 50-52(3)
Authors: Turing, Dermot; Benzler, Marc; Lacroix, Frédérick

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PWG issues report on money market fund reform options
pp. 53-58(6)
Authors: Bier, Stephen H.; Bogle, Thomas C.; Murphy, Jack W.; Babikian, Kevin K.; Murphy, Sean R.

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SEC issues guidance to boards reviewing certain affiliated transactions
pp. 59-61(3)
Authors: Ambler, Diane E.; Greer, Mark R.

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SEC approves rule banning "naked access" to trading centers
pp. 62-64(3)
Authors: Callcott, W. Hardy; Foley, Timothy C.

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SEC approves sweeping changes to FINRA's regulatory reporting rules
pp. 65-69(5)
Authors: Weiss, Harry J.; Lee, Yoon-Young; Newman, Bruce H.; Eckert, Paul R.; Hanselmann, Claire R.

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