ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
Private placement variable life insurance and annuities invested in hedge funds: due diligence issues for all parties to the transaction pp. 4-13(10) Authors: Lorence, Roger; Zhang, Steven Q.
New form ADV Part 2: post-filing post-mortem and more fun with Part 1 pp. 14-25(12) Author: Schnase, Lorna A.
SEC holds roundtable on money market funds and systemic risk pp. 26-29(4) Authors: Haskin, Benjamin J.; Barbash, Barry P.; Hall, Brian M.
SEC approves FINRA's overhaul of its Discovery Guide pp. 30-32(3) Authors: Polk, S. Lawrence; Stadler, Avital
SEC adopts final rules on Dodd-Frank Whistleblower Program pp. 33-38(6) Authors: Clark, Michael E.; Lese, Laurence S.; Avett, F. Reid
New FINRA books and records rules pp. 39-43(5) Authors: Lee, Yoon-Young; Newman, Bruce H.; Kubota, Kohki M.
FINRA's concept proposal on fixed-income research reports pp. 44-48(5) Authors: Sacks, Russell D.; Blankenship, Michael J.
The role of money laundering reporting officers in combating money laundering in Zambia pp. 49-55(7) Authors: Simwayi, Musonda; Wang, Guohua
Summary of selected FINRA regulatory notices, March-May 2011 pp. 56-76(21) Author: Davis, Henry A.
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