SEC Staff Addresses Cross-Border Implementation of MiFID II Research Provisions
Barbash, Barry P, Brizek, Ryan P, Bullitt, P. Georgia, de Salis, Henrietta, Neale, Margery K
Published in The Investment Lawyer (01.04.2018)
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Published in The Investment Lawyer (01.04.2018)
Journal Article
Trade Publication Article
New FINRA rules aim to protect seniors and other vulnerable market participants
Brown, Brant K, Anderson, James E, Bullitt, P. Georgia, Cottrell, Amelia A
Published in The journal of investment compliance (29.11.2018)
Published in The journal of investment compliance (29.11.2018)
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Journal Article
SEC Proposes Enhancing Requirements Affecting How Brokers and Investment Advisers Deal With Retail Investors
Anderson, James E, Brown, Brant K, Bullitt, P. Georgia, Burns, James R, Jackson, Richard F, Neale, Margery K
Published in The Investment Lawyer (01.08.2018)
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Published in The Investment Lawyer (01.08.2018)
Journal Article
Trade Publication Article
SEC Adopts Amendments to Rule 10b5-1 Insider Trading Plans and Related Disclosures
Aderton, Adam, Littman, Aliceson Kristy, Choe, Anne C, Bullitt, P Georgia, Stebbins, Robert B, Tincher, Jonathan
Published in The Investment Lawyer (01.05.2023)
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Published in The Investment Lawyer (01.05.2023)
Trade Publication Article
SEC Proposes Proxy Voting and Say-on-Pay Voting Disclosure Requirements for Funds and Institutional Investment Managers
Anderson, James E, Bullitt, P Georgia, Jackson, Richard F, Allensworth, Benjamin
Published in The Investment Lawyer (01.03.2022)
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Published in The Investment Lawyer (01.03.2022)
Trade Publication Article
REGULATORY MONITOR
Alvarez, Daniel K, Bullitt, P Georgia, Browder, Justin L, Choe, Anne C, Gray, Elizabeth P, Lederer, Marc J
Published in The Investment Lawyer (01.09.2019)
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Published in The Investment Lawyer (01.09.2019)
Trade Publication Article
SEC proposes sweeping changes to the use of derivatives and financial commitment transactions by registered funds and BDCs
Brizek, Ryan P, Bullitt, P. Georgia, DiMartino, Rose F, Neale, Margery K, Spinola, P. Jay
Published in The journal of investment compliance (03.05.2016)
Published in The journal of investment compliance (03.05.2016)
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Journal Article