| 1575940 |
SEC releases new interpretive guidance on soft dollar arrangements
Stuart J. Kaswell, Alan Rosenblat, Michael L. Sherman
(pp. 4-24)
Keywords:
Securities,
United States of America
ArticleType: Technical paper
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(140 KB)
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| 1575941 |
New pension legislation will significantly change US pension and IRA investments
Richard A. Gilbert, Ian Lloyd Levin, Sarah Downie
(pp. 25-31)
Keywords:
Investments,
Pensions
ArticleType: Technical paper
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(63 KB)
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| 1575942 |
USA Patriot Act: five years and counting, but still more work to be done
Alan E. Sorcher
(pp. 32-37)
Keywords:
Money laundering,
United States of America
ArticleType: Technical paper
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(61 KB)
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| 1575943 |
Recent anti-money laundering enforcement actions: lessons to be learned at others' expense
Satish M. Kini
(pp. 38-43)
Keywords:
Law enforcement,
Money laundering
ArticleType: General review
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(60 KB)
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| 1575944 |
The evolution of the exchange-traded fund: is active management on the horizon?
Michael R. Rosella, Domenick Pugliese
(pp. 44-50)
Keywords:
Investments,
Unit trusts
ArticleType: Technical paper
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(63 KB)
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| 1575945 |
The conflicting roles of the new New York Stock Exchange
George R. Kramer, Alan E. Sorcher
(pp. 51-66)
Keywords:
Corruption,
Stock exchanges
ArticleType: Technical paper
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(115 KB)
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| 1575946 |
Why outsource the compliance function?
Tim Duck
(pp. 67-69)
Keywords:
Costs,
Small enterprises
ArticleType: Technical paper
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(41 KB)
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