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
SEC Charges Investment Adviser, Officers, and Fund Trustees with Liquidity Rule Violations
Aderton, Adam, Choe, Anne, Haskin, Benjamin J, Neale, Margery K, Sood, Neesa Patel, Tincher, Jonathan, Fiest, Hannah
Published in The Investment Lawyer (01.09.2023)
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Published in The Investment Lawyer (01.09.2023)
Trade Publication Article
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
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
Book-Entry Deposit Procedures for Certain Offerings by Non-US Issuers under Section 3(c)(7) of the Investment Company Act
Barbash, Barry, Baumgardner, John E, Bergen, Robin M, Bostelman, John T, Fulop, Alina, Greene, Nathan J, Jordan, Nora M, Kaplowitz, Brian M, Karpf, Jeffrey D, Lincer, Richard S, MacKinnon, John A, Miller, Jonathan B, Neale, Margery K, Schreiber, Paul S, Townley, Danforth
Published in The Investment Lawyer (01.07.2008)
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Published in The Investment Lawyer (01.07.2008)
Trade Publication Article