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Journal Articles

New FINRA rules aim to protect seniors and other vulnerable market participants

Brant K. Brown, James E. Anderson, P. Georgia Bullitt, Amelia A. Cottrell

Journal of Investment Compliance (2018) 19 (4): 17–21.

https://doi.org/10.1108/JOIC-06-2018-0043

Published: 31 October 2018

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Journal Articles

SEC proposes sweeping changes to the use of derivatives and financial commitment transactions by registered funds and BDCs

Ryan P. Brizek, P. Georgia Bullitt, Rose F. DiMartino, Margery K. Neale, P. Jay Spinola

Journal of Investment Compliance (2016) 17 (1): 51–73.

https://doi.org/10.1108/JOIC-02-2016-0007

Published: 03 May 2016

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