Publisher: Emerald Group Publishing Limited
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Private placement variable life insurance and annuities invested in hedge funds: due diligence issues for all parties to the transaction
Lorence, Roger; Zhang, Steven Q.
New form ADV Part 2: post-filing post-mortem and more fun with Part 1
Schnase, Lorna A.
SEC holds roundtable on money market funds and systemic risk
Haskin, Benjamin J.; Barbash, Barry P.; Hall, Brian M.
SEC approves FINRA's overhaul of its Discovery Guide
Polk, S. Lawrence; Stadler, Avital
SEC adopts final rules on Dodd-Frank Whistleblower Program
Clark, Michael E.; Lese, Laurence S.; Avett, F. Reid
New FINRA books and records rules
Lee, Yoon-Young; Newman, Bruce H.; Kubota, Kohki M.
FINRA's concept proposal on fixed-income research reports
Sacks, Russell D.; Blankenship, Michael J.
The role of money laundering reporting officers in combating money laundering in Zambia
Simwayi, Musonda; Wang, Guohua
Summary of selected FINRA regulatory notices, March-May 2011
Davis, Henry A.
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