1. SEC suffers three recent losses despite increased focus on trial readiness. Issue 1 (27th February 2014) Authors: Bettigole, Bruce; Kelly, Katherine; Kruly, Charlie Journal: Journal of investment compliance Issue: Volume 15:Issue 1(2014) Page Start: 35 Record Type: Journal Article View Content: Available online (eLD content is only available in our Reading Rooms) ↗
2. SEC suffers three recent losses despite increased focus on trial readiness. Issue 1 (27th February 2014) Authors: Bettigole, Bruce; Kelly, Katherine; Kruly, Charlie Journal: Journal of investment compliance Issue: Volume 15:Issue 1(2014) Page Start: 35 Record Type: Journal Article View Content: Available online (eLD content is only available in our Reading Rooms) ↗
3. What does it take to make the SEC happy? SEC criticism of broker-dealers' due diligence for sales of unregistered securities leaves more questions than answers. Issue 1 (5th May 2015) Authors: Bettigole, Bruce; Kruly, Charlie Journal: Journal of investment compliance Issue: Volume 16:Issue 1(2015) Page Start: 52 Record Type: Journal Article View Content: Available online (eLD content is only available in our Reading Rooms) ↗
4. What does it take to make the SEC happy? SEC criticism of broker-dealers' due diligence for sales of unregistered securities leaves more questions than answers. Issue 1 (5th May 2015) Authors: Bettigole, Bruce; Kruly, Charlie Journal: Journal of investment compliance Issue: Volume 16:Issue 1(2015) Page Start: 52 Record Type: Journal Article View Content: Available online (eLD content is only available in our Reading Rooms) ↗