| 1728680 |
When do breakpoints give mutual fund investors a break?
Faten Sabry, Winai Wongsurawat
(pp. 5-11)
Keywords:
Advisory services,
Auditor's fees,
Unit trusts
ArticleType: Research paper
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(140 KB)
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| 1728681 |
The development of US regulation of broker-dealer research
Charles S. Gittleman, Russell D. Sacks
(pp. 12-25)
Keywords:
Regulation,
Securities markets,
United States of America
ArticleType: Technical paper
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(97 KB)
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| 1728682 |
The Summary Prospectus: the most significant change to mutual fund disclosure since the Investment Company Act of 1940
Len Driscoll
(pp. 26-34)
Keywords:
Disclosure,
Regulation,
Unit trusts,
United States of America
ArticleType: Technical paper
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(325 KB)
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| 1728683 |
Recommended annual review for hedge funds and other private fund managers
Steven M. Giordano, Richard A. Goldman, Robert G. Leonard, Michael F. Mavrides
(pp. 35-39)
Keywords:
Financial management,
Hedging,
Private finance,
Unit trusts
ArticleType: Technical paper
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(50 KB)
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| 1728684 |
Navigating the evolving regulatory maze: compliance management in a changing world
Brian Fahey, Marc Rinaldi
(pp. 40-44)
Keywords:
Compliance costs,
Financial management,
Regulation,
Risk management
ArticleType: Technical paper
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(51 KB)
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| 1728685 |
SEC shortens Rule 144 holding periods and loosens restrictions on resales of privately placed securities
Valerie Ford Jacob, Daniel J. Bursky, Stuart H. Gelfond, Michael A. Levitt, Paul D. Tropp, Vasiliki B. Tsaganos
(pp. 45-49)
Keywords:
Fundholding,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(49 KB)
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| 1728686 |
The new Italian Banking Regulation concerning banks' organization and corporate governance
Gabriella Opromolla
(pp. 50-54)
Keywords:
Banking,
Corporate governance,
Italy,
Regulation
ArticleType: Technical paper
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(47 KB)
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| 1728687 |
SEC proposes enhancements to Regulation S-P
Hardy Callcott, Gail Marshall-Smith
(pp. 55-59)
Keywords:
Financial information,
Regulation,
Securities,
United States of America
ArticleType: Technical paper
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(48 KB)
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| 1728688 |
SEC approves FINRA rule governing sales practices of deferred variable annuities
Jeffrey S. Puretz, Anthony H. Zacharski, Alan Rosenblat, Alison C. Ryan
(pp. 60-64)
Keywords:
Financial markets,
Investment funds,
Purchasing,
Regulation,
Sales,
United States of America
ArticleType: Technical paper
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(52 KB)
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| 1728689 |
Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January-March 2008
Henry A. Davis
(pp. 65-79)
Keywords:
Financial markets,
Regulation
ArticleType: Technical paper
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(102 KB)
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