Výsledky vyhledávání - "Carroll, Brenden P."

Akademický článek

Pay‐to‐play: SEC staff provides new guidance on Advisers Act Rule 206(4)‐5

Autor: Pittman, Edward L., Harvey, Christopher P., Sherman, Michael L., Carroll, Brenden P.

Publikováno v: Journal of Investment Compliance, 2011, Vol. 12, Issue 4, pp. 26-30.

Externí odkaz: http://www.emeraldinsight.com/doi/10.1108/15285811111188162

Zobrazit plný text záznamu

Periodical

Interpretive and Other Challenges to Liquidity Classification under the SEC's New Liquidity Risk Management Rule.

Autor: Puretz, Jeffrey S.¹, Carroll, Brenden P.², Withrow, Aaron D.², DiLorenzo, Nicholas³

Publikováno v: Investment Lawyer. Jul2017, Vol. 24 Issue 7, p12-19. 8p.

Zobrazit plný text záznamu

Akademický článek

Pay-to-play: SEC staff provides new guidance on Advisers Act Rule 206(4)-5.

Autor: Pittman, Edward L., Harvey, Christopher P., Sherman, Michael L., Carroll, Brenden P.

Publikováno v: Journal of Investment Compliance (Emerald Group); 2011, Vol. 12 Issue 4, p26-30, 5p

Zobrazit plný text záznamu

Periodical

SEC Issues Long-Anticipated Proposal to Amend Rules Governing Money Market Funds. (cover story)

Autor: Murphy, Jack W.^1,2, Cohen, Stephen T.¹, Carroll, Brenden P.¹, Smith, Aline¹

Publikováno v: Investment Lawyer. Aug2013, Vol. 20 Issue 8, p1-18. 8p.

Zobrazit plný text záznamu