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Roger D. Blanc
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Journal Articles
Supervisory obligations of broker‐dealer legal and compliance personnel after the Urban case
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 40–43.
Published: 08 June 2012
Journal Articles
SEC adopts large trader reporting system
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 31–39.
Published: 29 November 2011
Journal Articles
New SEC Interpretation of Section 28(e) for Soft Dollars
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2002) 2 (3): 55–57.
Published: 01 January 2002
