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All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.; Moriarty, Kathleen H.; Rosenzweig, … - In: The journal of investment compliance 13 (2012) 2, pp. 20-24
Persistent link: https://www.econbiz.de/10009574362
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Should index providers be regulated as investment advisers under the US Investment Advisers Act of 1940
Moriarty, Kathleen H. - In: The journal of index investing : ETFs, ETPs, & indexing 11/12 (2021) 4/1, pp. 54-71
Persistent link: https://www.econbiz.de/10012613699
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Insider trading at a cryptocurrency exchange
Moriarty, Kathleen H. - In: The journal of investing : JOI 32 (2023) 3, pp. 99-103
Persistent link: https://www.econbiz.de/10014306983
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New opportunities to market investment funds in the USA
Sorady, Marybeth - In: Journal of financial regulation and compliance : an … 6 (1998) 1, pp. 46-58
Persistent link: https://www.econbiz.de/10001239487
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CFTC adopts significant changes to CPO and CTA registration and compliance requirements
Rosenzweig, Kenneth M.; Cohen, Wendy E.; Okoshi, Marilyn S. - In: The journal of investment compliance 13 (2012) 2, pp. 15-19
Persistent link: https://www.econbiz.de/10009574365
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Summary and analysis of Dodd-Frank rules for investment advisers : registration requirements, exemptions, family offices, performance fee eligibility
Sorady, Marybeth; Domina, Daren; Cohen, Wendy; Santo, … - In: The journal of investment compliance 12 (2011) 4, pp. 4-17
Persistent link: https://www.econbiz.de/10009411235
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CFTC approves final rule requiring recording of oral communications
Rosenzweig, Kenneth M.; Foley, Kevin M.; Brockway, Blake J. - In: The journal of investment compliance 14 (2013) 1, pp. 47-49
Persistent link: https://www.econbiz.de/10009761438