ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
FINRA's 2011 enforcement record, priorities, and trends
Heilizer, Deborah G.; Rubin, Brian L.; McCormick, Andrew M.
May foreign benefits plans invest in new issues under FINRA Rules 5130 and 5131
JOBS Act eases securities-law regulation of smaller companies
Parrino, Richard J.; Romeo, Peter J.
CFTC's rulemaking on the segregation of cleared swaps customer collateral: LSOC and beyond
Architzel, Paul M.; Walker, Petal P.
CFTC and SEC jointly adopt final swap entity definition rules
Lurton, Allison; Bennett, Bruce; Massey, William; Fleishman, Robert; Herman, Mark; Sorrell, Michael; Hewitt, Ronald
SEC approves MSRB's new underwriter disclosure requirements
Callcott, W. Hardy; Baird, Elizabeth H.; Foley, Timothy C.; Tyrrell, Paul M.
Selected FINRA notices and disciplinary actions, March-May 2012
Davis, Henry A.