Whitepapers

Financial Services Reform Would Align Duties of Brokers and Advisers and End Mandatory Arbitration

Focus On: Adviser Compliance Testing by Lorna A. Schnase, Attorney at Law

The Importance of Implementing an Effective Insider Trading Policy By William E. Donnelly, Esq

Preparing an Investment Adviser for an SEC Examination by Timothy M. Simons, CPA,CFA, CFP, CIRM, CSCP

Gift and Business Entertainment" A Regulatory Overview For Broker-Dealer And Investment Advisers by Clifford J. Alexander and Kathy Kresch Ingber

Recent Areas of Focus in SEC Examinations of Hedge Fund Advisors by Paul N Roth & Marc E. Elovitz