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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 3 Issue 3

Published: 2002 | Start Page: 6

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Articles

Articles
Article No: Article Information:
1529037 Stock analysts’ conflicts of interest: the road to “independence” in stock research
Jacob H. Zamansky (pp. 6-12)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529038 E-mail and instant messaging retention, review, and production
Michael D. Wolk (pp. 13-18)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529039 Disclosure obligations of brokers-dealers that market 529 college savings plans
Michael D. Wolk (pp. 19-24)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529040 Mutual fund distribution payments: navigating the conflicts
Kent Knudson (pp. 25-29)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529041 One step or two? (Delaware’s going-private dichotomy)
Clifford E. Neimeth (pp. 30-42)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529042 Inconsistent application of the SEC’s “all holders-best price” rule continues to chill tender offers
Clifford E. Neimeth (pp. 43-47)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529043 The compliance imperative: lessons from the federal sentencing guidelines – the world beyond the guidelines
Richard D. Marshall (pp. 48-61)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: General review
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1529044 New ways to make ’em talk: real-time inforcement, Sarbanes-Oxley, and the corporate order
Aegis J. Frumento (pp. 62-69)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529045 Slipping back to business as usual: Six months after the passage of Sarbanes-Oxley
Steven N. Berk, Cyrus Mehri (pp. 70-75)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529046 SEC adopts and proposes new rules under Sarbanes-Oxley
Guy P. Lander (pp. 76-95)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: General review
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