| 1640614 |
Operating company or investment company: what would a reasonable investor think?
Christopher D. Menconi
(pp. 4-6)
Keywords:
Investments,
Investors,
Perception,
Securities
ArticleType: Technical paper
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(45 KB)
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| 1640615 |
Sound policies and procedures: the basis of a sound compliance program
Linda Wolosz
(pp. 7-11)
Keywords:
Financial services,
Regulation
ArticleType: Technical paper
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(49 KB)
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| 1640616 |
Net trading, market making, and the SEC's view of best execution
Brandon Becker, Bruce H. Newman, Andre Owens, Soo J. Yim, Christie Oberg
(pp. 12-21)
Keywords:
Communication,
Regulation,
Securities
ArticleType: Technical paper
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(88 KB)
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| 1640617 |
Revisiting insider trading in the debt markets: lessons for debt investors and members of committees in bankruptcy cases
Karl A. Groskaufmanis, Kalman Ochs
(pp. 22-26)
Keywords:
Bankruptcy,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(54 KB)
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| 1640618 |
Tellabs, Inc. v. Makor Issues & Rights, Ltd – a uniform test for pleading scienter in securities fraud cases
P. Benjamin Duke
(pp. 27-31)
Keywords:
Fraud,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(55 KB)
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| 1640619 |
SEC adopts new anti-fraud rule for private funds
Elizabeth Shea Fries, Jackson B.R. Galloway
(pp. 32-34)
Keywords:
Fraud,
Investment funds,
Regulation,
United States of America
ArticleType: Technical paper
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(45 KB)
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| 1640620 |
Supreme Court holds that the federal securities laws implicitly preclude application of the antitrust laws to the underwriting of initial public offerings
Harry Frischer, Stephen L. Ratner, Sarah S. Gold, Gregg M. Mashberg, Michael S. Lazaroff
(pp. 35-38)
Keywords:
Antitrust law,
Securities,
United States of America
ArticleType: Technical paper
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(49 KB)
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| 1640621 |
SEC adopts amendments to Regulation SHO
Stuart J. Kaswell, Alan Rosenblat, Christopher S. Ha
(pp. 39-43)
Keywords:
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(52 KB)
|
| 1640622 |
State securities legend requirements in Rule 506 private placement memos
Adam D. Gale
(pp. 44-50)
Keywords:
Hedging,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(63 KB)
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| 1640623 |
SEC and BaFin sign regulatory cooperation arrangement
Angelo Lercara
(pp. 51-55)
Keywords:
Germany,
International cooperation,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(49 KB)
|
| 1640624 |
China opens up issuance of Renminbi Bonds in Hong Kong
Connie Heng, Cao Yanping, Rupert Li, Yang TieCheng
(pp. 56-59)
Keywords:
Bonds,
China,
Hong Kong,
Regulation
ArticleType: Technical paper
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(47 KB)
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| 1640625 |
Summary of selected FINRA Regulatory Notices
Henry A. Davis
(pp. 60-67)
Keywords:
Regulation,
Securities markets,
Stock options,
United States of America
ArticleType: Technical paper
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(66 KB)
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