| 1529871 |
SEC approves NASD and NYSE uniform branch office definition for broker-dealers
Charles S. Gittleman, Russell D. Sacks
(pp. 4-9)
Keywords:
Legislation,
Stock exchanges,
United States of America
ArticleType: Technical paper
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(58 KB)
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| 1529872 |
Certain broker-dealers deemed not to be investment advisers: background, summary and status of new rule
Elizabeth C. Green
(pp. 10-19)
Keywords:
Financial management,
Legislation,
Securities markets
ArticleType: Technical paper
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(79 KB)
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| 1529873 |
Registered investment adviser compliance in a hedge fund environment
David E. Scott
(pp. 20-29)
Keywords:
Financial management,
Financial markets,
Legislation
ArticleType: Technical paper
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(79 KB)
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| 1529874 |
The EU Market Abuse Directive: understanding the implications
Alan Mangelsdorf
(pp. 30-37)
Keywords:
European directives,
European Union,
Legislation
ArticleType: Technical paper
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(71 KB)
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| 1529875 |
The New York Stock Exchange and cooperation: another precinct heard from
Ben A. Indek, Christian J. Mixter, E. Andrew Southerling
(pp. 38-43)
Keywords:
Securities markets,
Stock exchanges,
United States of America
ArticleType: Technical paper
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(66 KB)
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| 1529876 |
Securities offering reform proposal
David A. Sirignano, Stephen P. Farrell
(pp. 44-47)
Keywords:
Legislation,
Securities
ArticleType: Technical paper
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(47 KB)
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| 1529877 |
The perils of electronic communication: results of a financial services industry survey
Paul Johns
(pp. 48-52)
Keywords:
Communication technologies,
Electronic media,
Financial services
ArticleType: Technical paper
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(51 KB)
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