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Home > Journal of Investment Compliance > Table of contents:Volume 9 issue 2
Journal of Investment Compliance
ISSN: 1528-5812
Online from: 2000
Subject Area: Accounting and Finance
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Table of contents:
Volume 9 issue 2
Published: 2008, Start page: p5Icon key: 
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You have access to this item Backfiles Earlycite Abstract only | Article Id: | Article Information: |
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| 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 Article type: Research paper Please login | Abstract & purchase [ HTML & PDF (140kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (98kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (326kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (50kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (51kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (50kb) ] | Reprints & permissions |
| 1728686 | The new Italian Banking Regulation concerning banks' organization and corporate governance Gabriella Opromolla (pp. 50 - 54) Keywords: Banking, Corporate governance, Italy, Regulation Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (47kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (48kb) ] | Reprints & permissions |
| 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 Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (53kb) ] | Reprints & permissions |
| 1728689 | Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January-March 2008 Henry A. Davis (pp. 65 - 79) Keywords: Financial markets, Regulation Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (103kb) ] | Reprints & permissions |
Editor column
| Article Id: | Article Information: |
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| 1728690 | Editor column Henry A. Davis, James A. Tricarico Jr Abstract | View HTML |
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