ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
SEC releases study on the fiduciary duty of investment advisers and broker-dealers
Forbes, Jessica; Gnall, Gregory P.
Significant changes to FINRA's Know Your Customer and Suitability rules to take effect in 2011
Polk, S. Lawrence; Stadler, Avital
Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance
Pittman, Edward L.; Krause, Cheryl A.; Bogle, Thomas C.; Danilewitz, Justin C.
FINRA's all public panel option is now available in all customer cases
Ward, Bryan M.
Emerging issues under interim final regulation on plan service provider fee disclosure
Occhino, Lennine; Shore, Linda; Gosker, Erika
Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions
Weidner, James; Lane, Christopher; Peterson, Sean
Recommended annual review for hedge funds and other private fund managers
Schiera, Thomas M.
An analysis of the Regulated Investment Company Modernization Act of 2010
Hervey, Richard M.
FSA discussion paper on product intervention
Gleeson, Simon; Bates, Chris; Morris, Charles
Financial services remuneration in the UK
Plug and play brokerage: the new model of the high-service open architecture broker-dealer
Sobol, Robert Norman
Summary of selected FINRA regulatory notices, January-February 2011
Davis, Henry A.