Journal of Investment Compliance Volume 11 Issue 3

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Journal of Investment Compliance Volume 11 Issue 3

FSA imposes largest ever fine on an individual

Elisabeth Bremner; Sumitra Subramanian

Follow Journal of Investment Compliance , Volume 11 (3): 3 Emerald Publishing – Sep 14, 2010

FINRA proposes to require registration of back office and operations personnel

Michael R. Weissmann; Paul M. Tyrrell

Follow Journal of Investment Compliance , Volume 11 (3): 5 Emerald Publishing – Sep 14, 2010

Summary of selected FINRA regulatory notices April‐June 2010

Henry A. Davis

Follow Journal of Investment Compliance , Volume 11 (3): 24 Emerald Publishing – Sep 14, 2010

The new UK Financial Services Act 2010 makes significant reform; if trumped by recently elected coalition government proposals for a new regulatory structure

William Yonge

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

SEC adopts amendments to regulation SHO

Jessica Forbes; Gregory P. Gnall; Christine M. Lombardo

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

SEC proposes large trader reporting system

Russell D. Sacks; Michael J. Blankenship

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

What does Merck & Co. v. Reynolds mean for the future of the statute of limitations defense in securities fraud litigation?

Andrew B. Weissman; Andrea J. Robinson; Christopher Davies; John A. Valentine; Theresa Titolo; Jennifer K. Birlem

Follow Journal of Investment Compliance , Volume 11 (3): 4 Emerald Publishing – Sep 14, 2010

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Journal of Investment Compliance Volume 11 Issue 3

1 - 7 of 7 articles

Elisabeth Bremner; Sumitra Subramanian

Follow Journal of Investment Compliance , Volume 11 (3): 3 Emerald Publishing – Sep 14, 2010

Michael R. Weissmann; Paul M. Tyrrell

Follow Journal of Investment Compliance , Volume 11 (3): 5 Emerald Publishing – Sep 14, 2010

Follow Journal of Investment Compliance , Volume 11 (3): 24 Emerald Publishing – Sep 14, 2010

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

Jessica Forbes; Gregory P. Gnall; Christine M. Lombardo

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

Russell D. Sacks; Michael J. Blankenship

Follow Journal of Investment Compliance , Volume 11 (3): 6 Emerald Publishing – Sep 14, 2010

Andrew B. Weissman; Andrea J. Robinson; Christopher Davies; John A. Valentine; Theresa Titolo; Jennifer K. Birlem

Follow Journal of Investment Compliance , Volume 11 (3): 4 Emerald Publishing – Sep 14, 2010