| 1776326 |
ERISA for securities professionals: 2008 update
Richard K. Matta
(pp. 4-34)
Keywords:
Benefits,
Financial services,
Pensions,
Retirement
ArticleType: Research paper
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(188 KB)
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| 1776327 |
Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires
Russell D. Sacks
(pp. 35-42)
Keywords:
Financial markets,
Regulation,
Securities
ArticleType: Technical paper
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(69 KB)
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| 1776328 |
What the government's expanded investigations of market manipulation may mean (and what you should do before and after the subpoena arrives)
Gary J. Mennitt, Paul Huey-Burns, Robert J. Jossen
(pp. 43-46)
Keywords:
Financial institutions,
Financial markets,
Litigation
ArticleType: Technical paper
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(47 KB)
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| 1776329 |
SEC amends disclosure and reporting
Richard J. Parrino, Miyun Sung
(pp. 47-50)
Keywords:
Corporate governance,
Disclosure,
Financial reporting
ArticleType: Technical paper
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(49 KB)
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| 1776330 |
Summary prospectus may cause many to re-consider e-delivery and consent strategies
Len Driscoll
(pp. 51-55)
Keywords:
Disclosure,
Electronic document delivery,
Prospectuses
ArticleType: Viewpoint
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(51 KB)
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| 1776331 |
Compliance with Sarbanes-Oxley and do not call regulations is interdependent when telemarketing is a core part of a sales strategy
Lisette Ruch
(pp. 56-60)
Keywords:
Regulation,
Telephone selling,
United States of America
ArticleType: Technical paper
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(52 KB)
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| 1776332 |
Summary of selected FINRA regulatory notices, September-November 2008
Henry A. Davis
(pp. 61-71)
Keywords:
Financial markets,
Regulation,
Securities markets,
United States of America
ArticleType: Technical paper
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(86 KB)
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