Volume 12; Issue 3

Journal of Investment Compliance

Volume 12; Issue 3
2

New FINRA books and records rules

Lee, Yoon‐Young, Newman, Bruce H., Kubota, Kohki M.
Journal:
Journal of Investment Compliance
Year:
2011
Language:
english
File:
PDF, 117 KB
english, 2011
3

New form ADV Part 2: post‐filing post‐mortem and more fun with Part 1

Schnase, Lorna A.
Journal:
Journal of Investment Compliance
Year:
2011
Language:
english
File:
PDF, 148 KB
english, 2011
4

FINRA's concept proposal on fixed‐income research reports

Sacks, Russell D., Blankenship, Michael J.
Journal:
Journal of Investment Compliance
Year:
2011
Language:
english
File:
PDF, 113 KB
english, 2011
6

SEC approves FINRA's overhaul of its Discovery Guide

Lawrence Polk, S., Stadler, Avital
Journal:
Journal of Investment Compliance
Year:
2011
Language:
english
File:
PDF, 108 KB
english, 2011
7

Summary of selected FINRA regulatory notices, March‐May 2011

Davis, Henry A.
Journal:
Journal of Investment Compliance
Year:
2011
Language:
english
File:
PDF, 202 KB
english, 2011