Volume 10; Issue 1

Journal of Investment Compliance

Volume 10; Issue 1

1

Compliance with Sarbanes‐Oxley and do not call regulations is interdependent when telemarketing is a core part of a sales strategy

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 51 KB

english, 2009

2

Summary of selected FINRA regulatory notices, September‐November 2008

Davis, Henry A.

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 84 KB

english, 2009

3

SEC amends disclosure and reporting

Parrino, Richard J., Sung, Miyun

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 110 KB

english, 2009

4

What the government's expanded investigations of market manipulation may mean (and what you should do before and after the subpoena arrives)

Mennitt, Gary J., Huey‐Burns, Paul, Jossen, Robert J.

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 108 KB

english, 2009

5

Summary prospectus may cause many to re‐consider e‐delivery and consent strategies

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 150 KB

english, 2009

6

ERISA for securities professionals: 2008 update

Matta, Richard K.

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 250 KB

english, 2009

7

Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires

Sacks, Russell D.

Journal:

Journal of Investment Compliance

Year:

2009

Language:

english

File:

PDF, 130 KB

english, 2009