Journal of Investment Compliance

Summary and analysis of Dodd-Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibility
pp. 4-17(14)
Authors: Sorady, Marybeth; Domina, Daren; Cohen, Wendy; Santo, Fred; Bregstein, Henry; Wiener, Meryl; Okoshi, Marilyn; Governale, Jack P.

CFTC issues final rules prohibiting market manipulation
pp. 18-20(3)
Authors: Lurton, Allison; Massey, William; Fleishman, Robert S.

The Supreme Court's <IT>Janus</IT> decision: no secondary liability, but many secondary questions
pp. 21-25(5)
Authors: Delibert, Arthur; Wright, Gregory

Pay-to-play: SEC staff provides new guidance on Advisers Act Rule 206(4)-5
pp. 26-30(5)
Authors: Pittman, Edward L.; Harvey, Christopher P.; Sherman, Michael L.; Carroll, Brenden P.

Shareholder access litigation and beyond
pp. 40-43(4)
Authors: Martin, David B.H.; Gumbs, Keir D.

Recent regulatory actions focused on policies and procedures designed to safeguard material, non-public information
pp. 44-47(4)
Author: Lane, Jason

Round two of FATCA Guidance: Notice 2011-34: what's new and what remains on the wish list for non-US investment funds
pp. 48-52(5)
Author: Baker, Adrienne M.

Selected FINRA notices and disciplinary actions, July-August 2011
pp. 57-70(14)
Author: Davis, Henry A.