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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 1 Issue 4

Published: 2001 | Start Page: 7

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Articles

Articles
Article No: Article Information:
1666969 A New Millennium, A New Regulator? The Financial Services Authority's Approach
KAREN ANDERSON, CHRIS BATES, GEORGE STAPLE (pp. 7-11)
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ArticleType: General review
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1666970 Statutory Exceptions and Defenses: What Protection Is Available?
JONATHAN HERBST, KATIE McCAW (pp. 13-21)
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ArticleType: General review
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1666971 Financial Services Industry Use of Electronic Media: Current Regulatory and Legal Landscape
ROBERT P. BRAMNIK, NEIL B. SOLOMON (pp. 23-35)
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ArticleType: General review
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1666972 PRICING AND VALUATION OF REGISTERED INVESTMENT COMPANY PORTFOLIO SECURITIES
CHIP VONEIFF, TONY EVANGELISTA (pp. 37-41)
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ArticleType: General review
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1666973 The Commodity Futures Modernization Act of 2000
KENNETH M. ROSENZWEIG (pp. 43-46)
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ArticleType: General review
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1666974 Custody of Client Assets under Rule 206(4)-2 of the Investment Advisers Act
BRIAN CARROLL (pp. 47-51)
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ArticleType: General review
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1666975 Working Through Recent Developments in Securities Arbitration: A Guidebook
ROBERT D. FEIGHNER, TERRY ROSS, MICHELE R. FRON (pp. 53-60)
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ArticleType: General review
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1666976 A Broker's Disclosure of Payments for Money Market Sweeps: The Second Circuit Defers to the SEC
DAVID L. CAREY (pp. 61-63)
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ArticleType: General review
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