Zobrazeno 1 - 10
of 13
pro vyhledávání: '"Bruce H, Newman"'
Publikováno v:
Journal of Investment Compliance, 2015, Vol. 16, Issue 4, pp. 30-38.
Externí odkaz:
http://www.emeraldinsight.com/doi/10.1108/JOIC-08-2015-0055
Publikováno v:
Journal of Investment Compliance. 15:10-19
Purpose – To provide an overview of recent developments relating to the Securities and Exchange Commission (SEC)’s Market Access Rule, Rule 15c3-5 promulgated under the Securities Exchange Act of 1934. Design/methodology/approach – Provides a b
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::596fd7ccc1164b95e35b0a5953085819
https://doi.org/10.1108/joic-08-2014-0034
https://doi.org/10.1108/joic-08-2014-0034
Publikováno v:
Journal of Investment Compliance. 12:39-43
PurposeThe purpose of this paper is to explain newly approved Financial Industry Regulatory Authority (FINRA) books and records rule (Rules 2268, 4511, 4513, 4514, 4515, 5340, and 7440(a)(4)) that will go into effect on December 5, 2011.Design/method
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::8f6e71cf8d711550640332338ec642c9
https://doi.org/10.1108/15285811111182997
https://doi.org/10.1108/15285811111182997
Publikováno v:
Journal of Investment Compliance. 12:65-69
PurposeThis paper seeks to explain Financial Industry Regulatory Authority (“FINRA”) Rule 4530, which requires members to report to FINRA certain internal and external findings of violative conduct and quarterly statistical and summary customer c
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::1fd6e2f086c101ce224e9ba9ca170d47
https://doi.org/10.1108/15285811111122100
https://doi.org/10.1108/15285811111122100
Publikováno v:
Journal of Investment Compliance. 8:12-21
Purpose – The purpose of this paper is to discuss the implications of a recent SEC settlement with Morgan Stanley & Co. (MS & Co.) with regard to: communication and coordination among legal, compliance, business, and technology departments when des
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::26fff3aa6a4578acfde2761346bddeb9
https://doi.org/10.1108/15285810710839480
https://doi.org/10.1108/15285810710839480
Autor:
Bruce H, Newman, Barry A, Siegfried
Publikováno v:
Transfusion. 51(10)
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=pmid________::5d3e63b11290df891f371983b9f0a8c6
https://pubmed.ncbi.nlm.nih.gov/21985042
https://pubmed.ncbi.nlm.nih.gov/21985042
Publikováno v:
Transfusion. 45(8)
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=pmid________::76da50f689306840d003ff1bc16cc01b
https://pubmed.ncbi.nlm.nih.gov/16078931
https://pubmed.ncbi.nlm.nih.gov/16078931
Autor:
Bruce H, Newman
Publikováno v:
Current hematology reports. 3(6)
Approximately 3% to 3.5% of the US population donates whole blood each year. Physicians might be approached by a blood donor because of a donor suitability issue, a positive postdonation test, or a donation-related complication. Approximately 83% of
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=pmid________::6e9475b0cf28c54c682f0116bea07844
https://pubmed.ncbi.nlm.nih.gov/15496278
https://pubmed.ncbi.nlm.nih.gov/15496278
Autor:
Bruce H, Newman
Publikováno v:
Transfusion. 44(4)
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=pmid________::1a4c4e717db9808d26d7f58b42e47955
https://pubmed.ncbi.nlm.nih.gov/15043577
https://pubmed.ncbi.nlm.nih.gov/15043577
Autor:
Bruce H, Newman
Publikováno v:
Transfusion. 43(8)
The effect of weight on vasovagal reaction rates has not been evaluated in high- and low-risk populations or in first-time versus repeat blood donors. In addition, vasovagal reaction rates and weight have not been evaluated based on solicited informa
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=pmid________::104d130794b604147a075a933fd5a15e
https://pubmed.ncbi.nlm.nih.gov/14996208
https://pubmed.ncbi.nlm.nih.gov/14996208