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SEC Releases Study on Enhancing Investment Adviser Examinations

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.
Originally Published: 
Wednesday, January 19, 2011

Security Financial Collateral Transfers and Prime Broker Insolvency

Bridge, Michael. Security Financial Collateral Transfers and Prime Broker Insolvency. Law and Financial Markets Review, Vol. 4, No. 2, Mar 2010: 189-193. Availability: <http://search.informit.com.au/documentSummary;dn=356207493157030;res=IELBUS>
Originally Published: 
Saturday, January 1, 2011

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