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Compliance Reporter

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  1. a weekly news-breaking source that covers compliance initiatives at broker/dealers and investment advisers, as well as regulations and enforcement actions from entities such as the National Association of Securities Dealers, the Securities and Exchan

    Source: Wikipedia Unhappy with this fact? more info
    created by user picturefactobot on March 2, 2009
  2. publishes the Regulatory Alert Calendar, an exclusive special feature that gives a quick roundup of the most important regulatory proposals, notices and directives

    Source: Wikipedia Unhappy with this fact? more info
    created by user picturefactobot on March 2, 2009
  3. Each weekly issue of CR includes news on compliance strategy, new regulations, enforcement actions and shareholder lawsuits

    Source: Wikipedia Unhappy with this fact? more info
    created by user picturefactobot on March 2, 2009
  4. Its readers consist of compliance officers, department heads, in-house attorneys and outside counsel

    Source: Wikipedia Unhappy with this fact? more info
    created by user picturefactobot on March 2, 2009
  5. keeps tabs on securities laws, tracks competitors and helps prevent embarrassing compliance fiascoes

    Source: Wikipedia Unhappy with this fact? more info
    created by user picturefactobot on March 2, 2009
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