Journal of Investment Compliance logo Emerald Group Publishing Limited logo

Publisher: Emerald Group Publishing Limited

Related content
Volume 13, Number 3, 2012

< previous issue | all issues | next issue >

FINRA's 2011 enforcement record, priorities, and trends
pp. 6-12(7)
Authors: Heilizer, Deborah G.; Rubin, Brian L.; McCormick, Andrew M.

JOBS Act eases securities-law regulation of smaller companies
pp. 27-35(9)
Authors: Parrino, Richard J.; Romeo, Peter J.

CFTC's rulemaking on the segregation of cleared swaps customer collateral: LSOC and beyond
pp. 36-45(10)
Authors: Architzel, Paul M.; Walker, Petal P.

CFTC and SEC jointly adopt final swap entity definition rules
pp. 51-59(9)
Authors: Lurton, Allison; Bennett, Bruce; Massey, William; Fleishman, Robert; Herman, Mark; Sorrell, Michael; Hewitt, Ronald

SEC approves MSRB's new underwriter disclosure requirements
pp. 69-73(5)
Authors: Callcott, W. Hardy; Baird, Elizabeth H.; Foley, Timothy C.; Tyrrell, Paul M.

< previous issue | all issues | next issue >


Free Content
Free content
New Content
New content
Open Access Content
Open access content
Subscribed Content
Subscribed content
Free Trial Content
Free trial content

Text size:

A | A | A | A
Share this item with others: These icons link to social bookmarking sites where readers can share and discover new web pages. print icon Print this page