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Update on Amendments to the EU Prospectus Directive
Long-awaited amendments to the EU regime governing public offers of securities take effect on 1 July 2012.
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Form ADV for 2012, presented for the Investment Management/Financial Services Roundtable Series
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Industry Bashes FINRA Foreign Finder Pitch, Compliance Reporter, Vol. 17, No. 7
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Ethan Johnson discusses the current lack of precedent and guidance regarding the new FINRA proposal to eliminate rules on paying foreign finders.
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