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Review of Securities & Commodities Regulation

ISSN 0884-2426, Online ISSN:

Volume 56,  Number 09, May 1 2023.   Click on Article Title for Abstract and Full Text PDF

Articles

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SEC Modernizes Content and Delivery Requirements for Mutual Fund Shareholder Reports  
pp.119-125 (7)
Authors:  Lance C. Dial.; Amy McDonald.

How Do Chief Compliance Officers Prepare for DOJ’S New Compliance Certification Policy?  
pp.127-132 (6)
Authors:  James M. Koukios.; Ruti Smithline.; Heather Han.

Complete Issue (Volume 56, Number 9—May 10, 2023)  
pp.119-133 (15)
Authors:  Lance C. Dial, Amy McDonald & Jonathan Nowakowski.; James M. Koukios, Ruti Smithline & Heather Han.

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